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In this edition of Tech Travels, I am going to consider that the same could apply to regulatory technology (‘regtech’) and compliance in advice and wealth, and that anyone wanting squeaky clean compliance should ‘sit at the front’. By that I mean they should let the regulator have a constant and comprehensive view of their files. Fans of cruel classroom stereotypes will be amused to learn that the company trying to make this a reality is Canada-based Four Eyes Financial. The ‘Four Eyes’ does not refer to a bespectacled nerd – nor does it refer to our own ‘four eyes’ compliance rules.

Investment industry regulator organization of canadaMutual fund dealers association of canadaFinancial services compensation schemeTech travelsCanada based four eyesFour eyeLori weirFour eyes financialFour eyesInvestment industry regulator organizationMutual fund dealers associationReyes financialLeon thompsonJigsaw complianceமுதலீடு தொழில் சீராக்கி ஆர்கநைஸேஶந் ஆஃப் கனடாபரஸ்பர நிதி விநியோகஸ்தர் சங்கம் ஆஃப் கனடா