Jun 30, 2022 | Regulatory Compliance
What would happen to your firm and clients in the event your registered individuals are no longer able to perform their registerable duties? That is a question that is top of mind for regulators and one which staff is likely to ask about in the course of a regulatory...
Jan 31, 2020 | Regulatory Compliance
On December 20, 2019, the Investment Industry Regulatory Organization of Canada (IIROC) published its annual compliance report, which covers recent and current initiatives as well as 2020 priorities. And on January 9, 2020, the U.S. Financial Industry Regulatory...