Keyword: Compliance

IIROC compliance report finds room for improvement

Supervisory testing, record keeping, and out of date compliance programs flagged

• By: James Langton
• October 25, 2010 October 25, 2010
• 12:05

New client disclosure requirements coming for dealers: OSC

Report spells out the results of compliance reviews for fiscal 2010

• By: IE Staff
• October 17, 2010 October 17, 2010
• 10:33

Stromberg on fiduciary standard: Make it law article image

Stromberg on fiduciary standard: Make it law

• By: Glorianne Stromberg
• September 28, 2010 October 30, 2019
• 19:59

IIROC compliance reviews uncover deficiencies in disclosure, due diligence

Reviews focus on new products and principal-protected notes

• By: James Langton
• August 31, 2010 August 31, 2010
• 14:19

MFDA accepts settlement with Worldsource Financial

Dealer fined $50,000 for compliance deficiencies

• By: IE Staff
• July 15, 2010 July 15, 2010
• 15:25

Dundee Securities gets OK for two compliance heads

OSC allows separate officers for institutional and retail divisions

• By: James Langton
• June 13, 2010 June 13, 2010
• 15:22

Weak supervision earns failing grade for dealers

MFDA urges dealers to develop policies and procedures

• By: Megan Harman
• June 1, 2010 June 1, 2010
• 19:35

Treading carefully into social media: one advisor’s story article image

Treading carefully into social media: one advisor’s story

• By: James Pelmore
• May 18, 2010 October 30, 2019
• 14:08

MFDA highlights common compliance deficiencies

Reviews prompt two bulletins to member firms

• By: James Langton
• March 22, 2010 March 22, 2010
• 16:35

Compliance exams reveal concerns surrounding referral arrangements: MFDA

Reps acting contrary to MFDA rules

• By: James Langton
• February 10, 2010 February 10, 2010
• 12:44