UK, U.S. regulators have switched focus from principles to rules
For the second year in a row, advisors are satisfied with compliance, bucking the trend of years past
Inadequate supervision a common deficiency
Editorial
Having an effective compliance program is the only way firms can meet their regulatory responsibilities, the SRO says
But this is shortsighted as compliance serves a much-needed quality control function, critics charge
New tool embedded in wealth management platform
Despite “reasonable efforts,” fund’s private investment component exceeds 15%
Bulletin outlines common deficiencies and provides guidance on best practices
IIROC calls for compliance consultant to be put in place