Compliance

Cloud outsourcing poses systemic risk Fallback Image Decorative pattern

Industry

Cloud outsourcing poses systemic risk

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

By James Langton |May 12, 2022

1 min read

UBS settles with MX UBS settles with MX

Industry

UBS settles with MX

Firm settled allegations involving unapproved electronic access

By James Langton |May 11, 2022

1 min read

Truth in labelling comes for Ontario advisors Truth in labelling comes for Ontario advisors

Advisor's Edge

Truth in labelling comes for Ontario advisors

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

By Melissa Shin |May 9, 2022

2 min read

As CFRs loom, some still struggle with CRM2 Fallback Image Decorative pattern

Industry

As CFRs loom, some still struggle with CRM2

BCSC compliance reviews find CRM2 failings alongside registration and marketing gaffes

By James Langton |April 27, 2022

3 min read