Many of the more serious compliance concerns involve exempt market dealers
As insurance advisors face increasingly rigorous regulatory requirements, keeping accurate client files has become crucial in demonstrating your compliance should a client complain
Recent decisions from courts and tribunals dealing with business conduct and practice for financial advisors (excluding fraud)
FSCO plans more on-site compliance reviews
Regulator offers guidance on compliance with sales practices rules
Results will help regulator determine which portfolio managers, investment fund managers and EMDs will face compliance reviews
90% of legal cases against financial advisors involve breaches of the Know Your Client and Know Your Product rules
Understanding the impact that an infraction has on advisors
Use caution and common sense when sharing content on social media
New guideline requires firms to establish an enterprise-wide framework of regulatory risk management controls