Industry News

Don’t take good health for granted Fallback Image Decorative pattern

Industry

Don’t take good health for granted

If you have a great doctor, take time to thank them. It's Doctor's Day!

By Staff |May 1, 2015

1 min read

How to build an effective compliance system Fallback Image Decorative pattern

Planning and Advice

How to build an effective compliance system

Regulators are paying increasing attention to firms’ compliance structures.

By Jonathan Heymann |May 1, 2015

3 min read

CSA publishes guidance for proxy advisory firms Fallback Image Decorative pattern

Industry

CSA publishes guidance for proxy advisory firms

CSA has adopted National Policy 25-201 Guidance for Proxy Advisory Firms.

By Staff |April 30, 2015

1 min read

OBSI ‘names and shames’ 3 more firms Fallback Image Decorative pattern

Industry

OBSI ‘names and shames’ 3 more firms

OBSI has issued three more “name and shame” press releases identifying firms that have refused the ombudsman’s investor compensation recommendations.

By Staff |April 30, 2015

1 min read

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