MUTUAL FUND ASSOCIATION OF TRINIDAD AND TOBAGO
"STRENGTHENING THE ENVIRONMENT FOR INVESTOR CONFIDENCE"

Building a Culture of Compliance Part 1 (3)

Building a Culture of Compliance- Part 1

The International Organisation of Securities Commissions (IOSCO) defines compliance as a function that, on an on-going basis, identifies, assesses, advises on, monitors and reports on a market intermediary’s compliance with securities regulatory requirements, including whether there are appropriate supervisory procedures in place.

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