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
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