Our regulatory model is based on three pillars: quality management, ethics, and continuing education. It was developed over several years by an advisory task force, supported by extensive research and engagement with registrants.
Firms will be required to complete training and have documented policies and procedures in place for each of the three pillars within 12 months of registration.
To support firms in meeting these new requirements, we’ll be providing templates, documentation, and training beginning early in 2021. Visit our Regulation of Firms page for more information.