Jean Hurley, Hameed Shuja<1 min read
Julie DiMauro31 min listen
GRIP3 min read
Catherine Ollinger1 min read
Jean Hurley, Hameed Shuja<1 min read
Hameed Shuja2 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.
Additions include 13 individuals, 11 entities, and 100 vessels from Russia's shadow fleet.
Catherine Ollinger1 min read
Our in-brief roundup of notable stories from the last week.
GRIP3 min read
The guidance clarifies trading rules expectations without imposing additional obligations.
Alexander Barzacanos1 min read
Voluntarily adoption of semi-annual financial reporting (SAR) as part of a multi-year pilot is inline with SEC Chair Atkins supporting a shift from quarterly reporting.
Canadian government moves to close gaps in its AML regime.
Alexander Barzacanos1 min read
Canada’s anti-money-laundering and terrorist financing watchdog significantly increased its activity over the last year.
Alexander Barzacanos2 min read
GRIP's Julie DiMauro and Vlada Gurvich share their takeouts from the All In AI conference, held in Montreal, in this short video.
Julie DiMauro, Vlada Gurvich<1 min read
Canadian regulators urged to embed efficiency, growth, and competition alongside investor protection.
Alexander Barzacanos1 min read