Compliance Education Blogs
Read on for compliance education news, tips and advice from the Comply With Me team.
HO! HO! OH NO! A Holiday Party Checklist
Without fail, the day AFTER the office holiday party is when the juicy conversations happen and they always start with, […]
Crypto Assets and Trading Platforms 2025 Updates
If you’ve landed on this blog because you are participating in our Crypto Assets and Trading Platforms course, thanks for […]
Continuing Professional Development: Rule 2700
For financial professionals, maintaining compliance with Continuing Professional Development (CPD) is essential. According to Rule 2700, CPD regulations require individuals […]
Client-Focused Reforms: Using Our Family As Your Guide
Families come in all shapes, sizes, and ours guides registered persons through the Client-Focused Reforms. Just in case you were […]
Red Flags of Powers of Attorney (POA), Protection Mandates (PM) and the Trusted Contact Person (TCP)
There are so may red flags to watch out for when you’re a registrant dealing with clients. There’s red flags […]
Diminished Mental Capacity and Cognitive Decline
Knowing your client (KYC) comes with big responsibilities (cue Spiderman) and part of that is knowing when and how to […]
Powers of Attorney (POA), Protection Mandates (PM) and the Trusted Contact Person (TCP): What’s the Diff?
In the financial and securities industries, knowing the basics of Powers of Attorney (POA), Protection Mandates (PM) and the difference […]
Outside (Business) Activities
Outside Business Activities are old news, right? Wrong. This is a topic that registrants should revisit each and every year. […]
The Canadian Securities Industry: What is a Continuing Education Course Anyways? A Quick 101
We’re coming up on 1 year (August 2024) since the Canadian Investment Regulatory Organization (CIRO) published Bulletin 23-0096 “Proposed Clarifying […]