Firms willing to make strategic investments in compliance have an opportunity to differentiate themselves from the competition, according to report
Firms with different business models need more flexibility in meeting compliance requirements
In a recent review, most exempt market dealers and portfolio managers were issued deficiency reports
National insurance database in the works
Many seniors qualify as vulnerable because of a loss of cognitive ability and a willingness to trust others
Report identifies some areas for improvement
Think of compliance officers as your strongest allies
Bulletin outlines eight areas of focus, including exempt securities, outside business activities and leverage
Industry association calls on regulators, compliance personnel and senior management to work together
Better disclosure needed on proprietary products, suitability, and compensation