Conduct risks cannot be fully averted for such a large and diversified group
2013 compliance review uncovered “significant deficiencies
Report flags concerns with the cost of compliance
Report highlights shortcomings with relationship disclosure documents
U.S. regulator outlines 2015 priorities for compliance office
New tools have privacy features
Three sessions designed to strengthen compliance practices
Policies on anti-money laundering, privacy and disclosure are necessary
The goal is to provide tools to assist registrants with maintaining effective compliance
CLHIA releases compliance guidelines as part of its response to recommendations from regulators