Compliance

Regulation

OSC compliance reviews continue to reveal deficiencies

July 11, 2017 James Langton
OSC compliance reviews continue to reveal deficiencies
Regulation

IIROC lagging on compliance issues: report

July 4, 2017 James Langton
Ellen Bessner

Protect your reputation

July 3, 2017 Ellen Bessner
Regulation

BCSC compliance review highlights top deficiencies

June 28, 2017 James Langton
Ellen Bessner

Think clearly before responding to compliance inquiries

June 5, 2017 Ellen Bessner
Industry

CLHIA calls on regulators to develop insurance licensing and oversight regime

June 2, 2017 Megan Harman
Special Reports

FSCO reports decrease in insurance advisors’ compliance rates

May 31, 2017 Megan Harman
Regulation

CSA finds widespread compliance deficiencies at smaller firms

May 18, 2017 James Langton
Industry

Compliance expecting to spend more on regtech in the years ahead

May 17, 2017 Beatrice Paez
Technology-related risks are now the top concern for insurers
Ellen Bessner

How to prepare for an investigation interview

May 8, 2017 Ellen Bessner
Regulation

U.S. regulators announce compliance forum

May 3, 2017 James Langton
Industry

Improving disclosure for outside business activity must become a priority

April 24, 2017 Rudy Mezzetta
Canada’s big banks to face new disclosure requirements