Regulator tells compliance officers it has observed “significant deficiencies” at investment firms
Leo Purcell, chief compliance officer, Richardson GMP Ltd. describes the steps his firm took to roll out social media services to its advisor team. He outlines which services advisors are allowed to use and why. He spoke with Fiona Collie at the TMX Broadcast Centre in Toronto.
Advisors talk about their hands-on experience using social media to deepen client relationships
Firms share insights on the steps they are taking to prepare their advisors to use social media for client communications, while steering clear of regulatory hurdles
Start your engines. With the regulatory landscape offering more guidance on the dos and don’ts of using social media, this may be the moment to get in the game
Approved person transfers, outside business activities and transferring leverage accounts
Ontario Securities Commission reviewing KYC process for accredited investors
Geoff Creighton, chairman of the Canadian Corporate Counsel Association, strives to connect the legal and business sides of financial services
Two new CSA notices provide clear guidance to assist issuers in preparing and filing exempt market documents
Riskier firms will be examined more frequently, regulator says