Laura Bewick Howitt, CFA, CIPM, MBAMar 315 minWhat to Consider when Outsourcing ComplianceTHE COMPLIANCE CHALLENGE Investment firms often struggle with a lack of resources to fulfill all regulatory compliance functions. Smaller...
Laura Bewick Howitt, CFA, CIPM, MBAFeb 277 minBulletin: Canadian Regulators Enforcement Update REGISTRATION VIOLATIONS | UNSUITABLE EXEMPT MARKET SECURITIES AND RECORDKEEPING VIOLATIONS | PERSONAL FINANCIAL DEALINGS WITH CLIENTS...
Laura Bewick Howitt, CFA, CIPM, MBAFeb 247 minYou’re Being Audited: What to Expect and How to PrepareYou’ve just received the dreaded letter from the regulator notifying you of an upcoming audit. Furthermore, the timing couldn’t be worse:...