{"id":341611,"date":"2017-11-16T17:25:00","date_gmt":"2017-11-16T22:25:00","guid":{"rendered":"https:\/\/avatar.investmentexecutive.com\/uncategorized\/amf-eyes-reps-business-relationships\/"},"modified":"2019-10-07T20:00:14","modified_gmt":"2019-10-08T00:00:14","slug":"amf-eyes-reps-business-relationships","status":"publish","type":"post","link":"https:\/\/www.investmentexecutive.com\/news\/from-the-regulators\/amf-eyes-reps-business-relationships\/","title":{"rendered":"AMF eyes reps\u2019 business relationships"},"content":{"rendered":"<\/p>\n<p> The Autorit\u00e9 des march\u00e9s financiers (AMF) will collect additional data on registrants&#8217; practices and relationships with different industry stakeholders in an effort to improve industry compliance, the Quebec securities regulator has announced.<\/p>\n<p> Specifically, the AMF will ask for further information about firms&#8217; and individuals&#8217; business relationships as part of the ongoing registration process. This includes information on referral arrangements and commission sharing agreements, along with information on complaints and disciplinary actions.<\/p>\n<p> The goal is to &#8220;better support the industry,&#8221; the AMF says in its announcement. &#8220;Better support involves a greater understanding of the reality and needs of firms, independent partnerships and independent representatives,&#8221; the regulator adds.<\/p>\n<p> Additionally, the AMF intends to publish a governance and compliance guide for firms in early 2018 that explains &#8220;the regulatory framework&#8221; for firms and sets out recommended best practices.<\/p>\n<p> <em>Photo copyright: melnyk58\/123RF<\/em><\/p>\n","protected":false},"excerpt":{"rendered":"<p>The Quebec regulator intends to publish a governance and compliance guide for firms in early 2018<\/p>\n","protected":false},"author":38954,"featured_media":0,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":[],"categories":[2312,2324],"tags":[2394],"yst_prominent_words":[],"acf":[],"_links":{"self":[{"href":"https:\/\/www.investmentexecutive.com\/wp-json\/wp\/v2\/posts\/341611"}],"collection":[{"href":"https:\/\/www.investmentexecutive.com\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/www.investmentexecutive.com\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/www.investmentexecutive.com\/wp-json\/wp\/v2\/users\/38954"}],"replies":[{"embeddable":true,"href":"https:\/\/www.investmentexecutive.com\/wp-json\/wp\/v2\/comments?post=341611"}],"version-history":[{"count":1,"href":"https:\/\/www.investmentexecutive.com\/wp-json\/wp\/v2\/posts\/341611\/revisions"}],"predecessor-version":[{"id":360570,"href":"https:\/\/www.investmentexecutive.com\/wp-json\/wp\/v2\/posts\/341611\/revisions\/360570"}],"wp:attachment":[{"href":"https:\/\/www.investmentexecutive.com\/wp-json\/wp\/v2\/media?parent=341611"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/www.investmentexecutive.com\/wp-json\/wp\/v2\/categories?post=341611"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/www.investmentexecutive.com\/wp-json\/wp\/v2\/tags?post=341611"},{"taxonomy":"yst_prominent_words","embeddable":true,"href":"https:\/\/www.investmentexecutive.com\/wp-json\/wp\/v2\/yst_prominent_words?post=341611"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}