Tag: compliance

Compliance ROI Model

Reg BI: A Compliance ROI Model

With the introduction of Reg BI (Regulation Best Interest), wealth firms will be expected to implement the most significant wealth compliance reform in decades.  The Reg BI implementation deadline in […]

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Dave Carr-Pries

Taking the Noise out of KYP Compliance

In June 2018, InvestorCOM realized that, for the past seven years, they had been moving toward where the regulatory puck was headed. “When the OSC released its first discussion paper […]

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