Get to Know Us

Recent FINTRAC enforcement against securities and wealth-management firms is a reminder that AML compliance is not just about having policies on file. For PMs and EMDs, regulators are increasingly focused on whether risk assessments, monitoring, high-risk client controls, suspicious transaction escalation and effectiveness reviews are actually working in practice. With FINTRAC’s enforcement framework strengthened in 2026, firms should be asking whether written AML programs a

OSC 2026 Investment Management Report: key compliance takeaways for Portfolio Managers, Investment Fund Managers and Exempt Market Dealers, including regulatory reviews, KYP, liquidity, marketing, ownership changes, SMAs and new IFM conflict reporting requirements.

Recent regulator guidance has reinforced a consistent message: compliance programs must do more than exist on paper. This article highlights key areas for CCOs to review, including KYC/KYP and suitability, conflicts of interest, documentation, marketing, cybersecurity, third-party oversight, training and compliance testing.