Compliance Handbook for Advisors

With regulators across Canada reviewing legislation designed to ensure Fair Treatment of Customers, it is important that you understand the rules that govern market conduct and ensure that you are complying with all regulations in the province in which you do business.

To help you, ivari has created a Compliance Handbook for advisors. In easy-to-understand plain language, this Handbook outlines what is expected in order for you to be compliant and provides links to resources where you can find additional information.