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Keyword: Compliance

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Digital Signature stock photo

A welcome industry development gets a critical assessment

At FP Canada's annual conference, Ellen Bessner outlined red flags to identify and mitigate

Financial stock market graph on technology abstract background

Initiative aims to streamline compliance, facilitate automation


In the coming year, the regulator will assess how firms are implementing the CFRs

Communication network concept. Multiple exposure.

Changes aim to adapt regulator's requirements to tech innovation

Close up business man signing contract making a deal, classic business

The organization's president presented a hypothetical ethical scenario involving pre-signed forms at a conference last week

Digital Signature stock photo

Firms are increasingly reporting digital signature falsification

financial stock market graph on technology abstract background

Policy action may be needed to ensure resilience, European regulators say

UBS Financial Service office in 1285 6th Ave, new york. UBS AG is a Swiss global financial services company, One of big financial company in the world

Firm settled allegations involving unapproved electronic access

confusing array of advisor titles

As the province adjusts to titles regulation, we look at Quebec’s experience