Many funds plan to retain compliance practices
Firms to receive guidance on exam preps, enforcement investigations and more
Canadian business leaders are concerned that regulatory requirements have caused their finance departments to focus on compliance at the expense of other areas of their mandate, according to a survey released today by KPMG LLP.The survey, Striking the Balance, is based on the replies of 170 senior executives.The senior business leaders surveyed say that they […]
Alleged non-compliance relates to regulation regarding pension plan’s investment limits
Regulator completes compliance review
Advisor to pay a penalty of $10,000
Firm to pay $150,000 for trade supervision and audit trail deficiencies
Former compliance officer banned
Significant portion of increases are avoidable, SIA argues
Amendments aim to increase compliance with Regulation SHO