Capital Raising “Capital markets point of view” dealer
For private issuers, raising capital is the next natural step once you have exhausted other traditional forms of financing. It becomes even more enticing when…
Hiring in the Securities Industry: What you Need to Know
Hiring a new employee can be challenging in any environment, but it’s even harder in the securities industry. Employee not only have to be the…
Proficiency Requirements
Securities legislation is quite clear on what courses and designations you need in order to register in the various categories, but what relevant experience is…
Product Due Diligence (Company/Issuer)
Dealing Representatives are only allowed to sell products that have been approved by the Chief Compliance Officer (CCO) — and only after they’ve been trained…
Compliance Review
Compliance Review Compliance reviews by regulators follow a prescribed format depending on what has triggered the visit, whether a full compliance review, targeted review or…
How to Build an Effective Compliance System
Regulators are paying increasing attention to firms’ compliance structures to ensure there is a system of control and supervision in accordance with securities rules and…
Three Compliance Commandments to Obey
Advisors have a duty to act fairly, honestly and in good faith with clients. To meet these obligations, they must know their clients, understand the…
Becoming an EMD
So, you’re thinking of setting up your own Exempt Market Dealer “EMD”. Starting your own firm, along with the additional compliance responsibilities, can be daunting,…