The provincial regulator is likely to provide more guidance on mutual fund sales practice rule and seniors
CSA oversight review says SRO failed to adequately resolve issues raised in 2015
A reputation takes a lifetime to develop and a split second to lose
Shortcomings in client statements, followed by KYC, conflicts of interest and advertising were the top compliance issues for dealers
Take the necessary time, collect the appropriate information, get help if needed and never guess when writing a response to an inquiry of a potential compliance breach
The association expresses support for FSCO’s goals of treating consumers of insurance fairly and enabling innovation through fintech
In part, this was because the insurance regulator focused its compliance examinations in the latest year on agents with a high or medium risk of non-compliance
The results of the review of 65 small firms also provides additional guidance for these firms to meet their obligations
New report finds that 59% of survey participants said that technology has helped them meet regulatory obligations
Preparing for an interview with compliance, a regulator or client’s counsel is key because your licence, reputation and livelihood are all at stake