OBSI’s Joint Regulators Committee said client compensation has fallen $1.3 million short of the recommended payout over three years
Why segmenting product shelves into peer groups can help meet regulatory challenges
New regulatory research will feed into reforms to shadow banking oversight
The deal will allow BLG to expand and automate its regulatory compliance services
A step-by-step guide to navigating the mountain of rules you must follow to protect your licence, reputation and livelihood
Regulators will expect an advisor’s analysis to be documented and sufficiently thorough
You can build stronger relationships with clients by implementing new requirements now
IIROC outlined the challenges for firms and regulators in a new report
Requirements for fair trading between funds were first set in 1966
Clients may prefer communicating via texts, but be careful about the information you exchange