There are over 100 new and revised requirements in CRM 2 that are either currently in effect or will do so over the next three years
With regulations, products and communication technology changing at an accelerating pace, more financial advisors are developing collaborative relationships with their compliance departments
The goal is to improve communication with dealers, fund managers and advisors
Notice sets out guidance for firms to ensure compliance with regulatory obligations regarding sales communications
CSA sets out recommendations to improve relationship disclosure practices
Firms willing to make strategic investments in compliance have an opportunity to differentiate themselves from the competition, according to report
Firms with different business models need more flexibility in meeting compliance requirements
In a recent review, most exempt market dealers and portfolio managers were issued deficiency reports
National insurance database in the works
Many seniors qualify as vulnerable because of a loss of cognitive ability and a willingness to trust others