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.
During the AccelerateGov conference, speakers framed Canada’s G7 AI agenda as inseparable from what is happening inside government itself.
Vlada Gurvich4 min read
Our in-brief roundup of notable stories from the last week.
GRIP2 min read
Victoria Pinnington scrutinizes current thinking and developments in the regulation of AI in financial services.
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Vlada Gurvich explores these intricate topics with the New York City based expert in Canadian investment and trade.
Vlada Gurvich46 min listen
Our in-brief roundup of notable stories from the last week.
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Canada's CIO encouraged the government to broaden its horizons in enhancing AI and technology by learning from provincial and international jurisdictions.
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After a widely-criticized penalty against TD in 2024, FINTRAC signaled a shift towards bigger fines and earlier intervention.
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