Think of compliance officers as your strongest allies
Bulletin outlines eight areas of focus, including exempt securities, outside business activities and leverage
Industry association calls on regulators, compliance personnel and senior management to work together
Better disclosure needed on proprietary products, suitability, and compensation
U.S. regulator to focus on sales practices and fraud
Revisions respond to changes in registration rules
Keeping abreast of regulations should be a regular part of your business
Compliance report signals SRO’s priorities for the coming year
Silu Modi, VP, digital marketing, Macquarie Private Wealth, explains how to design a leading-edge social media program that successfully addresses IIROC compliance guidelines. He discusses how to build a social media strategy that creates brand, impact and support for your company. Modi spoke at the 2012 IFIC annual conference in Toronto.
State securities regulators offer recommended best practices