Print this package: Compliance roundup

In October we did an inventory of compliance stories on our site and pulled together some of the best we could find.

The package is available here for you to print, in regular and LARGE PRINT formats, if you’d like to take it with you or save it to your computer for easier future reference.

[Download the whole report](PDF) [Download the LARGE PRINT version] (PDF)

Let us know what you think and what information you’d like to see in future in this section — e-mail Advisor’s Edge editor Phil Porado at philip.porado@advisor.rogers.com or send your comments to feedback@advisor.ca.

If you haven’t had a chance to read the package online yet, here’s a preview:

There was a lot going on during the summer — new do-not-call rules and money laundering legislation went through earlier this year, not to mention updates related to registration reform, point of sale and more.

Hope for the regulated Phil Porado discusses where regulation is at in Canada and which roads we haven’t travelled (yet?).

Also: Do not call (DNC) Money laundering (Bill C-25) Compliance matters, with Advisor’s Edge Report columnists Prema Thiele and Rebecca Cowdery The compliance backstory (plus links and resources for your practice)

Read the whole package: Compliance roundup

If you would like to know more about this topic or any other topic, let us know. Send your requests, comments and feedback to feedback@advisor.ca.

Filed by Kate McCaffery, Advisor.ca. kate.mccaffery@advisor.rogers.com

(11/06/08)

Staff

The staff of Advisor.ca have been covering news for financial advisors since 1998.