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How to effectively implement the new IIROC CE Requirements to achieve higher competency levels at lower cost

By Robert Kirwin / September 7, 2017

Why are IIROC proposed enhancements to continuing education (CE) and the MFDA’s planned introduction of the same causing such upheaval in the industry? Two reasons: standardization and cost, say the firms with whom we have spoken. Are these valid objections? No, they are not. Let us explain. Greater Choice for Professional Development With the availability…

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Regulation as a Service: One solution does fit all

By Robert Kirwin / June 26, 2017

As a Chief Compliance Officer and regulator in my former life, it surprised me that technology and common standards across the industry do not play a central role in managing compliance programs. Given that all firms under one regulator have the same requirements, I expected to find but did not find providers who offered platforms…

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