In part 4 of this series, Ellen Bessner, a litigation partner at Cassels, Brock and Blackwell LLP, argues that advisors shouldn't hide from their compliance departments. She spoke at TMX Broadcast Centre in Toronto.
Deficiencies found during Independent Accountants’ Investment Group compliance exam
Advisors have a responsibility to ensure they’re using social media in a compliant manner
Suitability has been a particularly problematic area
Abuse of the accredited investor exemption is the number one problem, says OSC manager
Review outlines concerns with disclosure, governance, listing and auditing
The changes are being put forward in response to the provincial securities regulators’ registration reform rules
Deadline for applications is Feb. 29
Gary Legault is the Association of Canadian Compliance Professionals chair for 2012
A dealer’s examination cycle may change