Mark Ziebarth

Be ready for the regulator

Are you ready for a branch audit? Whether you are awaiting a visit by your compliance officer, an internal audit or an IIROC/MFDA check-up, here are six tips for preparing for a review:

By Mark Ziebarth | August 15, 2011

3 min read

For Branch Managers Only: Detecting undisclosed business

As branch manager you are in the best position to detect undisclosed outside business activity and other situations that can cause conflict of interest.

By Mark Ziebarth | May 5, 2011

3 min read