The Investment Industry Regulatory Organization of Canada: What it is and how to stay compliant
Market integrity is paramount in the securities industry to ensure fair and transparent trading practices, protect investors, and foster confidence. So how does the Investment Industry Regulatory Organization of Canada (IIROC) tackle such a broad objective, and how can firms ensure compliance?
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How are financial regulators approaching AI integration?
Regulators globally have been implementing a variety of measures to manage the utilization of AI within the financial sector. We take a look at the key approaches so far.
OSFI Annual Risk Outlook: emerging risks in an evolving financial landscape
Canadian regulator, OSFI, has said that a culture of compliance is a “competitive advantage” in its 2023 Annual Risk Outlook. We take a look at four critical areas for the year ahead.