GRIP2 min read
Jean Hurley19 min listen
GRIP2 min read
The chief compliance officer has a number of responsibilities including the establishment and maintenance of policies and procedures for the assessment of compliance by the firm with relevant rules and regulations.
An alternate individual, also qualified as a CCO under securities regulations, must also be designated.
Our in-brief roundup of notable stories from the last week.
GRIP2 min read
CIRO is the pan-Canadian self-regulatory organization that oversees investment dealers, mutual fund dealers, and trading activity on Canada’s debt and equity markets.
Julie DiMauro3 min read
A look at the CBDC regulatory framework, CBDCs in action, and challenges and developments in the US, UK, and Canada.
Jean Hurley4 min read
The reforms target long-standing gaps in Canada’s AML regime, extending FINTRAC oversight into two sectors linked to title fraud and cash-based laundering schemes.
Alexander Barzacanos1 min read
Our in-brief roundup of notable stories from the last week.
GRIP2 min read
What UHNW individuals and private wealth managers can learn from the tactics Swift has adopted through her ascent to stardom.
Ocorian Private Client team5 min read
Our in-brief roundup of notable stories from the last week.
GRIP1 min read
BCLC is a casino headquartered in Kamloops, British Columbia, that provides sports betting options, both in-person and online.
Julie DiMauro2 min read