If you can’t read and digest all the rules, make sure to understand the principles behind them
By removing friction, adding convenience and changing the value proposition, you can protect your practice from the growing influence of robo-advisors
A 2016 review found weaknesses in the firm’s internal controls and supervisory systems
The association will lead a consultation on Guideline G19 with participation by both advisors and insurers
There are various steps advisors can take to ensure a positive client experience while still being compliant
Advisors need to educate themselves about the laws and regulations and monitor themselves to ensure they’re compliant with these rules
The 2018 Risk Assessment Questionnaire helps the regulator target its compliance reviews by identifying firms with higher risk rankings
The online course explains the Quebec AMF’s regulatory framework, expectations and best practices regarding governance and compliance
Consultation paper seeks input on making reporting requirements machine-readable and executable
Lawyers may cost money, but they can help you be prepared to protect your licence, livelihood and reputation when speaking with regulators