Keyword: Compliance

ScotiaMcLeod advisor: Benefits of working with the media article image

ScotiaMcLeod advisor: Benefits of working with the media

• By: Dan Richards, Bev Moir
• March 6, 2011 October 30, 2019
• 20:43

Lawyer: “Insurers deny existence of supervision” article image

Lawyer: “Insurers deny existence of supervision”

• By: Harold Geller
• February 25, 2011 December 15, 2017
• 13:18

Newlink’s Innes: MGA licensing, regulations on the way article image

Newlink’s Innes: MGA licensing, regulations on the way

• By: Byren Innes
• February 10, 2011 December 15, 2017
• 20:30

A service to document compliant client meetings efficiently article image

A service to document compliant client meetings efficiently

• By: Dan Richards, Murray Morton
• December 6, 2010 October 30, 2019
• 13:59

An audit is a learning opportunity

Compliance experts explain how you can turn an audit into a beneficial experience for your business

• By: Fiona Collie
• October 29, 2010 November 5, 2019
• 14:19

IFIC stresses importance of maintaining proper records

Resource guide published to enhance compliance

• October 27, 2010 October 27, 2010
• 14:25

IIROC compliance report finds room for improvement

Supervisory testing, record keeping, and out of date compliance programs flagged

• By: James Langton
• October 25, 2010 October 25, 2010
• 12:05

New client disclosure requirements coming for dealers: OSC

Report spells out the results of compliance reviews for fiscal 2010

• By: IE Staff
• October 17, 2010 October 17, 2010
• 10:33

Stromberg on fiduciary standard: Make it law article image

Stromberg on fiduciary standard: Make it law

• By: Glorianne Stromberg
• September 28, 2010 October 30, 2019
• 19:59

IIROC compliance reviews uncover deficiencies in disclosure, due diligence

Reviews focus on new products and principal-protected notes

• By: James Langton
• August 31, 2010 August 31, 2010
• 14:19