You can minimize compliance risk by keeping thorough, up-to-date records
Best-interest concept and incentive programs to be examined
Firms spent over US$1 billion on regtech last year
Sophisticated buyers will know what to look for to determine if it is a compliant business
From the continued weight of compliance to market fears, there are multiple hurdles to overcome
After reaching settlements with TD and RBC, the OSC put other firms on notice
The new guidance applies to order-execution-only firms
The guidance aims to help firms identify and engage appropriate consultants
Referral cases more than doubled from 2018 to 2019
New committee to provide input on technical compliance challenges