Compliance

Industry

Firms not meeting KYC requirements: OSC

The OSC has released its 2012 annual summary report for dealers, advisors and fund managers.

By Staff |November 23, 2012

1 min read

Industry

The next leader of SEC will be…

Mary J. Miller, the under secretary for domestic finance at the U.S. Treasury Department, could become the next leader of the SEC.

By Staff |November 23, 2012

1 min read

Industry

Why valuing hedge funds is tricky

An increasing number of investors are looking into hedge funds, but are they right for your clients?

By Brooke Smith |November 21, 2012

3 min read

Industry

New software for exempt market

Exempt Logic Corp. launched beta access to its software product for the exempt market industry. Exempt Logic, the first application developed for the industry, is a cloud-based software application that streamlines compliance, sales, and administrative functions. “Our ultimate goal is transparency,” said Sheldon Stier, founder & CEO, Exempt Logic. “We can all do our jobs […]

By Staff |November 2, 2012

1 min read

IRS issues guidelines for tax compliance

In late June, after the IRS announced it will be helping U.S. and dual citizens overseas, the U.S. tax agency suggested it would publish guidelines by September 1 for a new procedure meant to encourage those who haven’t been filing U.S. tax returns to get on the road to compliance. They're now available.

4 min read

CFIB tackles small business regulatory costs

Your business owner clients may be getting some good news today. The CFIB is meeting with Ontario government representatives to work on reducing the regulatory burden on small businesses in the province. Read: Plan for the 5 stages of building a business They are proposing the following action plan, with officials having only 60 days […]

By Staff |August 29, 2012

1 min read

IIROC releases 2011-2012 annual report

The Investment Industry Regulatory Organization of Canada (IIROC) has released its 2011-12 Annual Report, which is called Raising the Bar. This report includes an updated strategic plan scorecard, which measures the progress of its strategic goals. Other highlights include discussions and updates on: • Reforms IIROC has implemented over the past year after extensive stakeholder […]

By Staff |August 24, 2012

1 min read

Former IAIG dealer fined $20,000

A settlement hearing in the matter of Michel Joseph Landry was held today in Toronto, Ontario before a hearing panel of the MFDA’s Central Regional Council. Landry was previously employed as an alternate compliance officer, shareholder and dealing representative with Independent Accountants Investment Group. He voluntarily resigned in January 2012. Read: Compliance failure costs IAIG […]

By Staff |August 23, 2012

1 min read

Compliance

Firms not meeting KYC requirements: OSC

The next leader of SEC will be…

Why valuing hedge funds is tricky

New software for exempt market

IRS issues guidelines for tax compliance

CFP Board strips 8 U.S. advisors of designations

CFIB tackles small business regulatory costs

IIROC releases 2011-2012 annual report

OSC plans to raise fees

Former IAIG dealer fined $20,000