As of May 1, 2020, mortgage brokerage (previously governed by the Organisme d’autoréglementation du courtage immobilier du Québec (OACIQ)) becomes a discipline covered by the Act respecting the distribution of financial products and services (LDPSF) and therefore becomes subject to the regulations of the Autorité des marchés financiers (AMF). These changes will have an impact
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In these times of confinement and uncertainty, many of us have adapted our business practices to encourage remote working. Altough technologies offer us several interesting options, it is important not to underestimate the risks and to ensure respect of our clients, partners and other correspondants’ confidentiality, as well as protect their personal data and shared
COVID-19 is currently the “hot” topic. The current situation raises many concerns for the population, and therefore for your customers. Here are a few subjects that might be interesting to discuss with them, which the AMF addresses in its newsletter: The impact on travel insurance The impact on investment returns Financial fraud Keep in mind
A little reminder that compliance also concerns your online exchanges! Here is a very relevant article that gives you some good practices to keep in mind 🙂 (French Only) https://lnkd.in/gDr-vcS
Did you know that since December 31, a gradual reform of Regulation 31-103 on Registration Requirements, Exemptions and Ongoing Registrant Obligations has started, to be completed by 2021? Here are some points to keep in mind regarding this reform: – The addition of the fundamental requirement to give priority to the interests of the client
For many people, as demonstrated by this article (in French) published by the Conseiller platform, compliance is synonymous with rigidity. At La Conformité, we have a different vision. Acting as consultants, our ambition is to act as a catalyst of success for you, helping you to ensure that your practice complies with the ever-increasing and
The requirements for financial services compliance are steadily increasing. It is important to stay up to date to make sure you respect them! This is exactly what La Conformité offers to do for you. The Conseiller magazine recently shared an interesting article written by Michel Mailloux regarding the various requirements in force. Good reading!
How comfortable are you with the following questions about current regulations? Have fun answering this short quiz by testing your knowledge!
In January 2015, Equisoft published its White Paper CRM2. Below is a resume of important points to consider: 40% of investors are unaware of the fees, commissions, MER’s and trailer fees that are subtracted from their portfolios. 1/3 of them may be aware of the trailer fees and trailing commissions; Added performance scrutiny may lead
As a Financial advisor, your time is precious. Therefore, if you are looking for a simple and quick way to meet the continuing education credits requirements (PTU) with the Chambre de la sécurité financière, Ingénium formation will be able to help you! Courses available in compliance, collective insurance, individual insurance, collective savings and more! Visit
