SROs issue joint notice on compliance
Officers must have credibility with senior management and corporate boards
Prospective and previously approved CCOs would have to pass qualifying exam
Electronic reporting of enforcement and compliance related information would benefit members, regulator says
Streamline regulatory regime to reduce compliance burden on businesses
Many funds plan to retain compliance practices
Firms to receive guidance on exam preps, enforcement investigations and more
Canadian business leaders are concerned that regulatory requirements have caused their finance departments to focus on compliance at the expense of other areas of their mandate, according to a survey released today by KPMG LLP.The survey, Striking the Balance, is based on the replies of 170 senior executives.The senior business leaders surveyed say that they […]
Alleged non-compliance relates to regulation regarding pension plan’s investment limits
Regulator completes compliance review