The Investment Dealers Association of Canada has published annual reports for its compliance, enforcement and registration activities in 2004.The IDA says that there were 83 early warning violations in 2004, to the end of November, down from 100 in 2003. These violations caused by 22 members, down from 24 in 2003. And, there were 14 […]
Regulators propose best practices to help advisors develop compliance practices and procedures
U.S. securities firms must designate chief compliance officer
No new types of problems, but what’s out there is more widespread
Address potential conflicts of interest before they occur says Kennedy
Regulator releases financial, sales compliance reports
Comprehensive solution for mutual fund and investment dealers
Implementation planned for 2005
Amendments recognize practical experience
OSC team identifies common failings