Tag: regulatory compliance

AUM – General Service

Dealer compliance departments are always busy and stressed. We can help when you are having difficulty finding the necessary time to devote to day-to-day regulatory compliance matters. We can tackle difficult one-off issues or help fill staffing gaps. Our only focus...

Bulletin | Polar Vortex Edition | January 2024

In this bulletin: Polar Precision: CIRO’s Proposals on Directed Commissions FSRA’s Proposed Approach for Vulnerable Consumers to Weather Financial Storms Skating on Thin Ice: FCSC Proposes New Rules Relating to Title Protection Cold Weather, Warm Access – CSA...

Bulletin | End of Year Edition | December 2023

In this bulletin: A Tale of Chilled Regulations: CSA Updates Expectations on Advisor Awards Heating up Financial Disputes: Proposed Changes for Binding Independent Dispute Resolution Service In Brief: Snow and Settling – CSA Finalizes Changes to Trade Matching Rule ▪...

Bulletin | The Telly Edition | November 2023

In this bulletin: Rate your Priorities – OSC Releases Draft Statement of Priorities The Digital Transformation: OSC Report on Artificial Intelligence in Capital Markets Reporting Transparency on Air: Report on OBSI Oversight From Script to Screen: CIRO Releases...