Reference Resource for Exempt Market Dealers
- Alberta-Based Registrant List
- Registrant Toolkit
- Self-Regulatory Organizations
- Exchanges, Alternative Trading Systems, Clearing Agencies, Trade Repositories & Information Processors
- Regulations regarding Over-the-Counter Derivatives
- Exemption Orders
- Decisions and Orders
- Energy derivatives complaints
An effective policy and procedures manual (PPM) is critical to a firm’s foundation and compliance-related success. There are many positive benefits of having an effective PPM, including:
- Consistency in employee conduct.
- Increased employee knowledge and awareness of requirements.
- Reduced non-compliance as a result of increased awareness of expectations.
- An improved client experience.
Have trouble drafting your PPM? Access the PPM Reference Resource for a helpful list of resources to get you started. Check back regularly to stay informed of newly published securities laws and guidance.