Compliance Risk Management For Advisors
Staying on top of compliance issues is a critical part of managing your practice and doing your best work for clients. With that in mind, Advisor’s Edge and Investment Executive have prepared this e-book to support you in your efforts to remain compliant and serve your clients well.
This collection includes 10 relevant articles from our archives that will help you preserve client confidentiality, manage potential conflicts when working with couples, see your compliance department in a new light, and more.
IIROC Cycle 8
IIROC Cycle 9