Compliance Update for Advisors - Part II
To be a successful advisor, you must stay on top of many important topics, including regulatory developments. Yet the seemingly non-stop pace of legislative and rule changes can often cause advisors to, understandably, take a reactive rather than proactive approach to compliance.
With that in mind, Advisor’s Edge and Investment Executive have prepared this e-book to help you keep abreast of recent developments regarding the Client-Focused Reforms (CFRs), CRM2 and other regulations. This collection includes 10 relevant articles from our archives that will help you understand the issues most important to advisors.
Make sure to read Compliance Update for Advisors: Part I for even more important background information.
IIROC Cycle 8
IIROC Cycle 9