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GRACE enables Product Governance under Regulation Best Interest

OVERVIEW The SEC’s latest regulation, the Regulation Best Interest is now in effect with firms having to bring their operations into compliance from June 30, 2020.  We know firms have worked hard to put in place solutions for the most visible requirement, the distribution of the Form CRS; the Regulation Best Interest is about more […]...

Published On - July 7, 2020

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IT Risk Management
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GRACE for PIPEDA

GRACE For PIPEDA (Canadian Personal Information Protection and Electronic Documents Act) Canada has two federal privacy laws that are enforced by the Office of the Privacy Commissioner of Canada: the “Privacy Act”, which covers how the federal government handles personal information and the Personal Information Protection and Electronic Documents Act (PIPEDA), which covers how businesses […]...

Published On - July 1, 2020

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Reg BI
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Regulation Best Interest Day 2 and Beyond

It is finally here – June 30th is compliance day for Form CRS and Regulation Best Interest – day one!  Firms have been working hard to put in place their day one solutions and distribute their Form CRS documents to investors, by mail, and electronically via client portals.  Of course, the SEC’s latest regulation, the […]...

Published On - June 29, 2020

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