The chief compliance officer has a number of responsibilities including the establishment and maintenance of policies and procedures for the assessment of compliance by the firm with relevant rules and regulations.
An alternate individual, also qualified as a CCO under securities regulations, must also be designated.
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GRIP Extra: CFTC launches Innovation Task Force, digital Euro progress advances
Our in-brief roundup of notable stories from the last week.
GRIP3 min read
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Your Canada update: Electronic trading rules, insider status, and more
CIRO offers guidance on how to notify the agency about third-party risk management control providers and when agreements with them are terminated.
Julie DiMauro1 min read
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Financial regulation 2.0: What EU regulatory evolution means for practitioners
Regulation targeting the financial sector continues to evolve. We explore the EU's future approach, where reforms are balanced with core safeguards – alongside perspectives from other key markets for the Nordic and Baltic region.
Vasilka Lalevska, Thomas Hyrkiel, Julie DiMauro, Vlada Gurvich, Jean Hurley, Hameed Shuja8 min read
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GRIP Extra: AMLA begins groundwork for direct supervision, White House unveils federal AI framework
Our in-brief roundup of notable stories from the last week.
GRIP3 min read
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GRIP Extra: McKinsey suffers AI system breach, Canada caps NSF fees
Our in-brief roundup of notable stories from the last week.
GRIP2 min read
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Enhancements to Canada’s regulatory framework for crypto
Victoria Pinnington provides a detailed update on key current and prospective changes to crypto regulation in Canada and how firms can remain compliant.
Victoria Pinnington5 min read
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GRIP Extra: Fed terminates Wells Fargo enforcement, US mulls national security-based chip framework
Our in-brief roundup of notable stories from the last week.
GRIP2 min read
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GRIP Extra: Anthropic clashes with Pentagon, OCC proposes GENIUS Act implementation rules
Our in-brief roundup of notable stories from the last week.
GRIP2 min read
