Regulatory compliance is critical for ensuring business continuity in the financial services industry. However, ensuring compliance with regulations can be complicated because of technicalities in the regulatory framework governing the industry and the many regulatory bodies and self-regulatory organizations.
The HEC Avocats team uses its expertise to assist distributors of financial products and services, insurers, mutual fund brokers, investment dealers, professional liability insurance funds, investment fund managers, and portfolio managers with regulatory compliance and self-regulatory organizations. Our knowledge of the regulatory framework governing the financial services industry enables us to support our clients and meet their needs in this respect.