Navigating the Compliance Conundrum

Credo’s advanced research studies are designed to offer clients insight and perspective that will help them make both strategic and tactical decisions. Each study includes an executive summary along with key findings and recommendations. Credo’s advanced studies are characterized by having numerous chapters that address complex subject matter. Topics are chosen based on discussions with clients and their expressions of interest.

Credo hears – loudly and clearly – that advisors are challenged and frustrated with compliance process. This study relies on a combination of interviews and surveys. Credo will have discussions with compliance officers at IIROC and MFDA firms as well as with financial advisors and industry regulators. How do the expectations of compliance officers at competing dealerships differ? What are the implications of these differences? What are their processes and what expectations of support do they have from supplier firms?