Explore the pivotal role of compliance officers in financial organizations, focusing on their responsibilities, challenges, and contributions to risk management.
Explore the practices and regulations that ensure the integrity of capital markets, including the prohibition of insider trading and market manipulation, and the role of financial professionals in maintaining ethical standards.
An in-depth exploration of compliance with laws and regulations in the Canadian securities industry, covering key laws, the importance of staying informed, consequences of non-compliance, and strategies for adherence.
Explore trailer fees, ongoing commissions paid for servicing mutual fund accounts, and their ethical implications in Canada's mutual fund industry.
