Helping Firms Develop Better Compliance Practices
Philip Porado has released a couple of excellent articles concerning how regulators are trying to deal with trade compliance infractions at memeber firms:
December 2005, Advisor's Edge Report: Me and My Shadow - IDA finds in-firm compliance consultants can help bring firms up to snuff
May 2006, Advisor's Edge Report: Hit for the Cycle - MFDA examiners are coming to visit, they don't like what they see
Philip's articles can be found at www.advisor.ca
In response, we have published a white paper, that we think helps answer some of the problems Philip points out in his articles.
Download white paper here.
December 2005, Advisor's Edge Report: Me and My Shadow - IDA finds in-firm compliance consultants can help bring firms up to snuff
May 2006, Advisor's Edge Report: Hit for the Cycle - MFDA examiners are coming to visit, they don't like what they see
Philip's articles can be found at www.advisor.ca
In response, we have published a white paper, that we think helps answer some of the problems Philip points out in his articles.
Download white paper here.
posted by Edward Iftody, BA, CIM at
10:54 AM
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