Posts by Robert Kirwin

Tone from the top is a catchy phrase, but Client Focused Reform, FSRA’s focus on advisor compliance and OSFI’s focus on conduct risk underline that ultimately compliant behaviour is driven by the individual. To truly shape a compliance culture you need to know your advisor, your staff and your manager’s data to guide them to…

As IIROC and MFDA focus on the merger of their two organizations, I believe this is the time to re-think how supervision is conducted. There is a need to move away from treating regulatory administration (registration, proficiency management and other registered and non-registered compliance activities) as a task to be fulfilled and instead move towards…

VigilantCS is pleased to announce the launch of VCSOpen+ (Life and Health Insurance) Staff Compliance Platform, which will complement our existing VCSOpen+ (Securities) compliance platform. As a significant number of MFDA and IIROC securities advisors are also insurance licensed it will be critical that supervisors have access to an advisor’s complete regulatory file; whether insurance…