But this is shortsighted as compliance serves a much-needed quality control function, critics charge
New tool embedded in wealth management platform
Despite “reasonable efforts,” fund’s private investment component exceeds 15%
Bulletin outlines common deficiencies and provides guidance on best practices
IIROC calls for compliance consultant to be put in place
Letter warns CEO not to neglect responsibilities
Report notes top three deficiencies
The Financial Services Commission of Ontario announced a series of webinars for principal brokers, designed to prepare them for new business rules and regulations coming into effect on Jan. 1, 2009.Principal brokers serve as mortgage brokerages’ chief compliance officer, FSCO notes. To help understand how to comply with the new rules and regulations, FSCO is […]
A legal expert offers timely advice aimed at avoiding disputes with clients
Marcello fined and suspended for three months