The regulator’s compliance exams found weak suitability controls and significant weakness in supervision
The SRO will retain its surplus to cushion the impact of a new accounting standard and anticipated capital expenditures
2015 Compliance Report Card lists top five deficiencies
The goal is to help firms prepare for new compliance requirements
Brokers may be recommending riskier, possibly unsuitable securities
Making life convenient for your clients is important, but protecting your licence and reputation is even more critical
Industry-wide database offers better monitoring for life insurers, MGAs
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