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.
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Canada stress-tests its markets quietly, and passes
A newly released CIRO report has brought fresh attention to the results of its October 2025 industrywide continuity exercises, highlighting their relevance to current regulatory priorities.
Vlada Gurvich4 min read
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GRIP Extra: SEC names new enforcement chief, DOJ opens fraud division
Our in-brief roundup of notable stories from the last week.
GRIP2 min read
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CIRO releases priorities for fiscal year 2027
Canada’s investment industry SRO said it would consolidate rules, strengthen investor protection, and improve cyber resilience.
Alexander Barzacanos1 min read
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GRIP Extra: CFTC sues states over prediction markets, OCC rescinds big bank recovery planning guidelines
Our in-brief roundup of notable stories from the last week.
GRIP2 min read
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GRIP Extra: CFTC launches Innovation Task Force, digital Euro progress advances
Our in-brief roundup of notable stories from the last week.
GRIP3 min read
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Your Canada update: Electronic trading rules, insider status, and more
CIRO offers guidance on how to notify the agency about third-party risk management control providers and when agreements with them are terminated.
Julie DiMauro1 min read
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Financial regulation 2.0: What EU regulatory evolution means for practitioners
Regulation targeting the financial sector continues to evolve. We explore the EU's future approach, where reforms are balanced with core safeguards – alongside perspectives from other key markets for the Nordic and Baltic region.
Vasilka Lalevska, Thomas Hyrkiel, Julie DiMauro, Vlada Gurvich, Jean Hurley, Hameed Shuja8 min read
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GRIP Extra: AMLA begins groundwork for direct supervision, White House unveils federal AI framework
Our in-brief roundup of notable stories from the last week.
GRIP3 min read
