Shortcoming uncovered in state regulators' compliance reviews, NASAA reports
The IIAC suggests regulators pay for system changes
FSRA's consultation also includes insurers' related obligations to ensure agent suitability
IOSCO sets guidance on overseeing AI use for investment firms, asset managers
The SRO has elected to maintain more prescriptive guidance around KYC reviews
On a pilot basis, businesses in Alberta and Saskatchewan will be able to raise public capital more easily
One weak area was application processing for prospective mortgage brokers and insurance agents
Annual report from OSC compliance branch signals exam targets for the year ahead
OBSI’s Joint Regulators Committee said client compensation has fallen $1.3 million short of the recommended payout over three years
Why segmenting product shelves into peer groups can help meet regulatory challenges