There are various steps advisors can take to ensure a positive client experience while still being compliant
Advisors need to educate themselves about the laws and regulations and monitor themselves to ensure they’re compliant with these rules
The 2018 Risk Assessment Questionnaire helps the regulator target its compliance reviews by identifying firms with higher risk rankings
The online course explains the Quebec AMF’s regulatory framework, expectations and best practices regarding governance and compliance
Consultation paper seeks input on making reporting requirements machine-readable and executable
Lawyers may cost money, but they can help you be prepared to protect your licence, livelihood and reputation when speaking with regulators
Violations of the rule involve certain incentives programs
New disclosure rules from CLHIA draw complaints
The U.S. regulator will focus on cost and compensation disclosure, the supervision and oversight of reps and fixed-income trading execution
Are firms shifting clients into lower-cost funds as appropriate?