What to Consider when Outsourcing Compliance
THE COMPLIANCE CHALLENGE Investment firms often struggle with a lack of resources to fulfill all regulatory compliance functions. Smaller...
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Laura Bewick Howitt, CFA, CIPM, MBA
Feb 27, 20237 min read
Bulletin: Canadian Regulators Enforcement Update
REGISTRATION VIOLATIONS | UNSUITABLE EXEMPT MARKET SECURITIES AND RECORDKEEPING VIOLATIONS | PERSONAL FINANCIAL DEALINGS WITH CLIENTS...
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Laura Bewick Howitt, CFA, CIPM, MBA
Feb 24, 20237 min read
You’re Being Audited: What to Expect and How to Prepare
You’ve just received the dreaded letter from the regulator notifying you of an upcoming audit. Furthermore, the timing couldn’t be worse:...
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