Letter warns CEO not to neglect responsibilities
Report notes top three deficiencies
The Financial Services Commission of Ontario announced a series of webinars for principal brokers, designed to prepare them for new business rules and regulations coming into effect on Jan. 1, 2009.Principal brokers serve as mortgage brokerages’ chief compliance officer, FSCO notes. To help understand how to comply with the new rules and regulations, FSCO is […]
A legal expert offers timely advice aimed at avoiding disputes with clients
Marcello fined and suspended for three months
Auditor and senior associate netted unlawful trading profits
The program will help compliance chiefs ensure effective communication about compliance and maintain effective controls at their firms
Compliance team planning to update risk assessment models for investment counsel and portfolio managers and fund managers
Sharing of examination findings can help compliance officers proactively fine-tune supervisory controls, regulator says
Changes would eliminate waste and duplication in compliance