Never go into a meeting cold when being interviewed for any compliance infraction
A monthly update on recent regulatory events and upcoming deadlines
This year’s compliance exams will focus on suitability and KYC issues as well as the new cost and performance reporting requirements under CRM2
Whether the task is reports to investors, meeting client identity requirements or fulfulling obligations to seniors, technology can make compliance more manageable
Key challenge is in integrating platform into firms’ processes
The asset manager has also implemented a special committee to review compliance issues in the area of its sales practices
Regulatory deadlines and updates for financial professionals. New this update: proficiency issues; robo-advisors and much more.
FSCO found insufficient adoption of best practices
Jim Ruta, former Agency executive manager, keynote speaker and coach at JimRuta.com, explains six ways that keeping compliant can also drive productivity for insurance advisors.
The provincial regulator’s recent examinations of life insurance agents revealed several gaps in compliance, especially as they relate to disclosure