Compliance

Industry

Why entities are sharing info on disciplined registrants

Disciplined IIROC members who want to sell insurance in B.C. may now find it harder to do so.

September 9, 2016

4 min read

Industry

Whistleblower rejects US$8M award, pinpointing regulatory gaps

Find out why Eric Ben-Artzi, a former Deutsche Bank risk officer, has refused his whistleblower payout.

By Staff |August 19, 2016

1 min read

Industry

What the CSA’s bombshell proposals mean for you

Compliance roundup

June 24, 2016

7 min read

Tax News

IRS can revoke passports of Americans in Canada

New rules target delinquent taxpayers

By David A. Altro |June 24, 2016

4 min read

Tax News

IRS can revoke passports of Americans in Canada

Make sure to keep up with your U.S. taxes — the IRS can now revoke American passports if you don't pay up.

By David A. Altro |June 17, 2016

4 min read

Planning and Advice

Don’t forget to do the OSC’s risk questionnaire

The OSC wants you to complete the 2016 Risk Assessment Questionnaire.

By Staff |May 18, 2016

1 min read

Industry

FINRA fines Raymond James US$17M

FINRA has fined Raymond James & Associates and Raymond James Financial Services, US$17 million for widespread failures related to the firms’ anti-money laundering programs.

By Staff |May 18, 2016

2 min read

Industry

IIROC imposed more sanctions in 2015

01 IIROC’s 2015 enforcement report IIROC enforcement in 2015 saw an increase in sanctions but a drop in the SRO’s fine collection rate. IIROC levied more than $4.5 million against firms and individuals, compared to $3.67 million in 2014, and collected 84% of fines against firms and 13.2% against individuals, compared to 100% and 19.8%, […]

May 13, 2016

5 min read

Industry

Best ways to report on non-securities investments

CRM2 implementation is still underway, but regulators are already considering how to push for more transparency. Regulators could crack down on how non-securities investments are reported, including insurance offerings, GICs, annuities and segregated funds. They haven’t been dealt with yet under new disclosure requirements, but industry watchdogs have been monitoring how advisors recommend and sell […]

By Katie Keir |May 6, 2016

4 min read

Industry

How will the best interest standard affect you?

5 principles you'd need to follow.

By Staff |April 28, 2016

3 min read

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