Compliance

Special Reports

Power of attorney: What advisors need to know

June 20, 2016 Dan Richards, Ellen Bessner
Power of attorney: What advisors need to know
Regulation

B.C. regulator finds problems old and new

June 14, 2016 James Langton
OSC compliance reviews continue to reveal deficiencies
Special Reports

Three things to consider when selling your book

June 13, 2016 Dan Richards, Ellen Bessner
Three things to consider when selling your book
Regulation

OSC issues 2016 risk assessment questionnaire

May 18, 2016 James Langton
Industry applauds Sousa’s regulatory proposals
Ellen Bessner

Don’t practise “The Ostrich Phenomenon”

May 9, 2016 Ellen Bessner
Industry

Regulators expect greater effort from firms on advisors’ outside business activities

April 25, 2016 Tessie Sanci
OSC compliance reviews continue to reveal deficiencies
Sales & Marketing

Minding your digital compliance

April 4, 2016 Dwarka Lakhan
OSC compliance reviews continue to reveal deficiencies
Regulation

IIROC puts focus on suitability, robo-advisors for 2016

February 18, 2016 James Langton
Industry

Firms must buy in to reforms

February 12, 2016 James Langton
Regulation

MFDA to carry out new review of sales incentives

January 14, 2016 James Langton
Regulation

SEC announces 2016 compliance priorities

January 11, 2016 James Langton
Industry

Launch of APEXA’s advisor screening tool delayed

December 18, 2015 Megan Harman