Compliance

Regulation

Two firms refused to compensate clients last year, report says

August 6, 2021 Mark Burgess
David Reeve

KYP and the power of the peer

July 23, 2021 David Reeve
advisor-client meeting
Regulation

Regulators aim to root out pandemic-driven liquidity issues

May 6, 2021 James Langton
rules and regulations
Industry

Borden Ladner Gervais acquires AUM Law

May 6, 2021 IE Staff
Ellen Bessner

You can’t be a walking rulebook

April 14, 2021 Ellen Bessner
David Reeve

Get ready to show your work under the client-focused reforms

April 1, 2021 David Reeve
advisor and client meeting
Susan Silma

How enhanced KYC requirements are changing client conversations

March 24, 2021 Susan Silma
client meeting
Regulation

Conflicts, crypto, cyber risk: the year ahead in compliance

March 22, 2021 James Langton
OSC corporate finance report aims to aid compliance
Regulation

SEC examines rules for inter-fund trading

March 12, 2021 James Langton
Building Your Business

Are your texts to clients compliant?

February 22, 2021 Leah Golob
woman texting
David Reeve

Full disclosure: How to turn compliance into a competitive advantage

February 12, 2021 David Reeve
advisor with client
Regulation

Unilateral Ontario reforms could hurt harmonization, provincial regs warn

February 12, 2021 James Langton
rules and regulations