The SRO provides clarity ahead of new year-end requirements, noting how products, fees and even ESG should be discussed
Unlicensed professionals must avoid registrable activity
U.S. firms' compliance and surveillance programs need review, the SRO says
Investment in compliance is rising along with what's at stake for asset managers
Dealers shouldn’t be confronted with red flags upon entry to the home
Proposal would harmonize standards throughout Quebec's financial sector
Annual report from OSC compliance branch signals exam targets for the year ahead
IIROC also is looking at retail complaints and disgorgement, among other SRO priorities
FINTRAC's compliance exams won't start until April 2022
Citing continued consumer harm and a lack of trust, regulator plans tougher consumer protection requirements