The asset manager has also implemented a special committee to review compliance issues in the area of its sales practices
Regulatory deadlines and updates for financial professionals. New this update: proficiency issues; robo-advisors and much more.
FSCO found insufficient adoption of best practices
Jim Ruta, former Agency executive manager, keynote speaker and coach at JimRuta.com, explains six ways that keeping compliant can also drive productivity for insurance advisors.
The provincial regulator’s recent examinations of life insurance agents revealed several gaps in compliance, especially as they relate to disclosure
Learn your firm’s policy and discuss your social media plans
Compliance officers are there to ensure you and your firm stay out of trouble. Here are some tips on how to help them do that
The product most commonly associated with potentially unsuitable recommendations is variable annuities
As the regulatory environment in the financial services sector continues to evolve, keeping up with a steadily growing list of compliance responsibilities is a major challenge for financial advisors
In part eight of a multi-part series, “Keeping your practice compliant,” Ellen Bessner, partner, Babin Bessner Spry LLP, and Dan Richards, CEO, Client Insights, discuss the know your client (KYC) implications of using Skype and FaceTime to meet with clients.