The changes are being put forward in response to the provincial securities regulators’ registration reform rules
Deadline for applications is Feb. 29
Gary Legault is the Association of Canadian Compliance Professionals chair for 2012
A dealer’s examination cycle may change
Draft is a response to rule changes resulting from registration reform
Updated guidance indicates that all methods of communication, including social media, are subject to the IIROC’s rules
System delivers transaction confirmations and compliance documents for new issue equity and fixed income products
Latest round of compliance exams to focus on client complaint handling rule
Firms allowed to comply with the rules in their home jurisdictions, including Canada
Firms should view compliance as a means to avoid problems, not as a burden