Compliance

Industry

Three compliance commandments to obey

Details on KYC, KYP and suitability

June 20, 2014

4 min read

Industry

Compliance roundup – June 2014

IIROC says advisors are lax on suitability, KYP

By Staff |June 20, 2014

4 min read

Industry

How to deal with client complaints

Advisors should prepare themselves for a new way of handling clients’ problems, because OBSI’s dispute resolution service will be mandatory as of August 1.

By Jonathan Heymann |June 16, 2014

4 min read

Industry

Byron Capital Markets refuses OBSI compensation request

Byron Capital Markets Ltd. has refused an OBSI compensation request in the amount of $41,149.

By Staff |June 11, 2014

2 min read

Industry

Connect with clients using social media

Advisor.ca was at the fourth annual Digital Marketing for Financial Services conference, presented by Strategy Institute.

By Staff |June 11, 2014

2 min read

Industry

OSC releases risk questionnaire

The OSC has issued its 2014 risk assessment questionnaire to gather information from Ontario registered firms about their business operations. The information gathered through this process will be used by OSC staff for risk ranking and for selection of firms for compliance reviews.

By Staff |June 10, 2014

1 min read

Industry

Are your clients as wealthy as they claim?

Your client may claim to be an accredited investor. But don’t take her word for it. Verify she meets the requirements for the Accredited Investor (AI) exemption.

By Dean DiSpalatro |June 5, 2014

3 min read

Industry

FATCA harms Canadians’ privacy

FATCA puts Canadian citizens’ privacy in question and discriminates against citizens based on their ethnic origin, says columnist Tim Harper in the Toronto Star.

By Staff |May 29, 2014

1 min read