Latest News & Updates

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

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

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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