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The Australian Coat of Arms in metal hangs on the glass wall of a building that reflects another high-rise across the street.

ASIC calls for distribution improvements

Poorly designed KYC questionnaires at the heart of recent enforcement actions

Regulation

OSC’s compliance work escalates

Risky firms, crypto platforms add to compliance division's workload

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

BCSC, fund manager settle compliance issue case

Firm resolved allegations of KYC, suitability, conflict failures

To protect yourself and clients, rethink trusted contacts

Why clients need to name different people as PoA and TCP

CFTC sanctions crypto intermediary

Firm allegedly helped U.S. investors evade controls against offshore platforms

people working

A strategy for assessing insurance suitability

A sneak peek at an upcoming CE course shows three time frames are key to recommendations

Banned

Former fund rep sanctioned for exceeding registration

Fund rep could fill out basic information, but not KYC info, on investment dealer accounts

Silhouette of man at sunset

CIRO sketches three-year strategic vision

Expanding access to advice, standardizing KYC data collection on SRO's agenda

Dispute at desk

Do your notes pass the sniff test?

Here are three steps to prove suitability

BMO Nesbitt sanctioned for supervisory shortcomings

Firm failed to adequately oversee rep's risky trading strategy, CIRO says