U.S. regulator to focus on sales practices and fraud
Revisions respond to changes in registration rules
Keeping abreast of regulations should be a regular part of your business
Compliance report signals SRO’s priorities for the coming year
Silu Modi, VP, digital marketing, Macquarie Private Wealth, explains how to design a leading-edge social media program that successfully addresses IIROC compliance guidelines. He discusses how to build a social media strategy that creates brand, impact and support for your company. Modi spoke at the 2012 IFIC annual conference in Toronto.
State securities regulators offer recommended best practices
Kilburn Ogilvie Waymann failed to maintain regulatory capital, adequate compliance
David Gilkes, vice chairman of the Exempt Market Dealers Association and president of North Star Compliance & Regulatory Solutions Inc., says that the OSC needs to publicly announce its new regulation strategy for exempt market dealers before contacting clients directly -- a move he views as potentially destructive to clients' relationships with dealers. Gilkes spoke at the 2012 EMDA conference in Toronto.
EMDA calls on regulator to actively publicize new policy
Regulator will contact some clients directly to confirm KYC information on file