In this article, we examine the surveillance trends and practice experienced by a number of Canada’s leading banks, brokers, and wealth managers who attended a recent roundtable hosted by Global Relay. This event was attended by directors and leads across supervision, risk, surveillance, and compliance. The article covers regulator interaction,
Regulatory compliance trends in Canada for sellside and buyside
Reporting, transparency, and governance frameworks were high on the agenda at Global Relay’s recent compliance roundtable in Canada.