U.s. regulator to focus on fraud and sales practices, among other issues
Concerns about suitability top the list
Changes intended to further integrate risk-based methodology
Four new seminars added to assist registrants with strengthening their compliance practices
Compliance reviews in 2014 to focus on CRM 2 reforms, conflicts of interest and social media usage
Canada’s new legislation is among the world’s toughest; review of your practices is essential
Reviews of three firms raised “significant concerns”, regulator says
Regulator publishes annual compliance report covering EMDs, portfolio managers, and fund managers
Dealers should put more of a focus on training their advisors on how to work with seniors
Dealers and advisors should take steps to ensure they’re operating in compliance with rules governing outside business activities