Annual Summary Report for Dealers, Advisers and Investment Fund Managers
- Education and registration outreach
- Regulatory oversight activities and guidance
- Impact of upcoming policy initiatives
- Regulatory conduct activities
Canada’s Compliance Officers Speak Out – National Anti-Money Laundering Survey Report
When it comes to compliance with Canada’s anti-money laundering (AML) and anti-terrorist (ATF) rules, regulated entities labour under significant burden. Grant Thornton LLP conducted a survey of compliance officers to see which laws or compliance issues take highest priority for them as well as those the cause issues.
Learn more by downloading the info-piece using the form
By: Grant Thornton LLP
Best Practices in Best Execution
In all cases the investor or “customer” expects best execution. Make sure that portfolio changes are executed in the best manner to ensure success with both regulators and with customers. Past performance is no indication of future results so ensure that you are achieving consistent best execution.
Learn more by downloading the info-piece using the form.
By: The Jersey Company