The Client Focused Reforms and the introduction of the new KYP requirements place an explicit obligation on firms to reasonably assess, approve and monitor the securities (or products) made available […]
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The past several weeks has changed many aspects of our personal and professional lives. It would be an understatement that the pace of change, including the transition to work from […]
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After an extensive investigation and feedback period, the CSA (Client Securities Administrators) recently released the published rule amendments to implement Client Focused Reforms (CFR) across Canada. CFR is a series […]
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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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Toronto, ON – InvestorCOM, a leader in financial services compliance solutions, today announced the release of “ShelfMonitorTM for Dealers”. This is a new product that will help investment dealers monitor […]
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