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 using such data to better understand an organization’s culture. As organizations move towards building a digital platform, building a compliance digital platform is just as important not only from a cost savings perspective but as a way of dynamically understanding your staff, managers and operations.
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