Keyword: Compliance

MFDA accepts settlement with Worldsource Financial

Dealer fined $50,000 for compliance deficiencies

• By: IE Staff
• July 15, 2010 July 15, 2010
• 15:25

Dundee Securities gets OK for two compliance heads

OSC allows separate officers for institutional and retail divisions

• By: James Langton
• June 13, 2010 June 13, 2010
• 15:22

Weak supervision earns failing grade for dealers

MFDA urges dealers to develop policies and procedures

• By: Megan Harman
• June 1, 2010 June 1, 2010
• 19:35

Treading carefully into social media: one advisor’s story article image

Treading carefully into social media: one advisor’s story

• By: James Pelmore
• May 18, 2010 October 30, 2019
• 14:08

MFDA highlights common compliance deficiencies

Reviews prompt two bulletins to member firms

• By: James Langton
• March 22, 2010 March 22, 2010
• 16:35

Compliance exams reveal concerns surrounding referral arrangements: MFDA

Reps acting contrary to MFDA rules

• By: James Langton
• February 10, 2010 February 10, 2010
• 12:44

OSC reports on focused reviews of investment funds

No pervasive compliance problems uncovered

• By: James Langton
• January 19, 2010 January 19, 2010
• 12:45

Head of SEC inspections office named

PwC’s di Florio hired as compliance chief

• By: IE Staff
• January 5, 2010 October 11, 2019
• 08:10

New ACCP board to tackle mutual fund compliance issues in 2010

Pace of regulatory change increasing

• By: IE Staff
• January 4, 2010 January 4, 2010
• 14:29

A solution to the industry’s ills

Lax enforcement is not the reason rules are ineffective; rather, the problem is largely one of compliance

• By: James Langton
• December 7, 2009 December 7, 2009
• 13:03