New era of regulation has arrived
The Mutual Fund Dealers Association has issued a bulletin to advise its members that its staff have commenced the second round of compliance examinations. These examinations will include review of deficiencies identified during the initial examination and resolution of these deficiencies, it says. Firms must ensure that deficiencies identified during their first compliance examination are […]
Program designed to meet escalating demand for compliance professionals
Issuers were unaware of provisions, CSA says
Make believers of senior management, Bourque advises
“One size fits all” approach contrary to UMIR, firm says
U.S. fund industry must now identify intermediaries
Board members better informed as a result
IDA approves Grant Thornton as monitor
Securities must be sold through dealers