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
The SEC and FINRA will hold their national compliance outreach program on July 27
Compliance professionals must improve their training of approved persons on outside business activities to reduce risks for firms and their advisors
Global compliance executives say their firms will have to spend more to deal with risks associated with fraud and financial crime, cyberattacks and everyday business
Never go into a meeting cold when being interviewed for any compliance infraction