Association of Canadian Compliance Professionals – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Wed, 30 Oct 2019 06:01:44 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Association of Canadian Compliance Professionals – Investment Executive https://www.investmentexecutive.com 32 32 CRM2: Continuing use of performance summaries debated https://www.investmentexecutive.com/news/research-and-markets/crm2-continuing-use-of-performance-summaries-debated/ Tue, 28 Apr 2015 12:00:00 +0000 https://www.investmentexecutive.com/uncategorized/crm2-continuing-use-of-performance-summaries-debated/ Panel discusses dealers’ role in helping advisors face any negative consequences that may arise when compensation reports become mandatory

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]]> Aim higher on suitability https://www.investmentexecutive.com/news/industry-news/aim-higher-on-suitability/ Mon, 27 Apr 2015 19:50:00 +0000 https://www.investmentexecutive.com/uncategorized/aim-higher-on-suitability/ Panel discusses what regulators look for in assessing whether dealers have fulfilled suitability requirements

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]]> Newsmaker: Doing the right things https://www.investmentexecutive.com/in-depth_/special-reports/newsmaker-doing-the-right-things/ Sun, 15 Feb 2015 05:00:00 +0000 https://www.investmentexecutive.com/uncategorized/newsmaker-doing-the-right-things/ The job of the compliance department has never been more crucial. Kathleen Black, in her new role as head of the ACCP, takes on a pivotal role in a sector facing challenges on many fronts

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]]> Staying clear of some common compliance mishaps https://www.investmentexecutive.com/news/industry-news/staying-clear-of-some-common-compliance-mishaps/ Fri, 11 May 2012 19:50:00 +0000 https://www.investmentexecutive.com/uncategorized/staying-clear-of-some-common-compliance-mishaps/ Approved person transfers, outside business activities and transferring leverage accounts

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]]> Two industry groups announce 2011 board line-ups https://www.investmentexecutive.com/news/industry-news/two-industry-groups-announce-2011-board-line-ups/ Mon, 10 Jan 2011 20:38:00 +0000 https://www.investmentexecutive.com/uncategorized/two-industry-groups-announce-2011-board-line-ups/ Fund dealers, compliance professionals

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]]> New ACCP board to tackle mutual fund compliance issues in 2010 https://www.investmentexecutive.com/news/industry-news/new-accp-board-to-tackle-mutual-fund-compliance-issues-in-2010/ Mon, 04 Jan 2010 19:29:00 +0000 https://www.investmentexecutive.com/uncategorized/new-accp-board-to-tackle-mutual-fund-compliance-issues-in-2010/ Pace of regulatory change increasing

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]]> ACCP appoints Kegie as executive director https://www.investmentexecutive.com/news/people/accp-appoints-kegie-as-executive-director/ Thu, 04 Jun 2009 17:22:00 +0000 https://www.investmentexecutive.com/uncategorized/accp-appoints-kegie-as-executive-director/ Sandra Kegie has extensive experience working with regulators and as chief compliance officer with some mutual fund dealers

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]]> OSC to settle with AIC over market timing activities https://www.investmentexecutive.com/news/from-the-regulators/osc-to-settle-with-aic-over-market-timing-activities/ Wed, 15 Dec 2004 13:20:00 +0000 https://www.investmentexecutive.com/uncategorized/osc-to-settle-with-aic-over-market-timing-activities/ Hearing with four fund companies scheduled for Thursday

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]]> Fund dealer compliance officers form professional association https://www.investmentexecutive.com/news/products/fund-dealer-compliance-officers-form-professional-association/ Fri, 07 May 2004 15:55:00 +0000 https://www.investmentexecutive.com/uncategorized/fund-dealer-compliance-officers-form-professional-association/ ACCP elects slate of officers

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]]> Compliance association elects board members https://www.investmentexecutive.com/news/people/compliance-association-elects-board-members/ Tue, 06 Jan 2004 20:10:00 +0000 https://www.investmentexecutive.com/uncategorized/compliance-association-elects-board-members/ ACCP forum set for May

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