Regulatory Compliance Inc.

Regulatory Compliance Solutions

Tailored and pragmatic solutions to help regulated firms meet their obligations with confidence and clarity.

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Latest Updates

Hot Topics We Can Help You With

CIRO's New Rules Following Delegation of Oversight by the AMF

Stay compliant with the latest regulatory changes and understand how they affect your operations.

New AMF Complaint Handling Rules

Ensure your complaint handling procedures align with the new AMF requirements.

New Regulations on Personal Data Protection in Quebec

Navigate the complexities of Quebec's enhanced data protection requirements.

Our Regulatory Compliance Services

We offer comprehensive solutions to help regulated firms navigate complex regulatory landscapes with confidence.

Policy & Procedure Development

Customized policies and procedures tailored to your specific regulatory requirements and business model.

Internal Manual Updates

Regular updates to your compliance manuals to reflect the latest regulatory changes and industry best practices.

Regulatory Watch & Insights

Stay informed about regulatory changes with our ongoing monitoring and analysis of new requirements.

Compliance Training Programs

Comprehensive training solutions to ensure your team understands and follows regulatory requirements.

Compliance Function Outsourcing

Full or partial outsourcing of your compliance function to our experienced team of regulatory experts.

Regulatory Audit Support

Expert assistance during regulatory audits to ensure smooth interactions and favorable outcomes.

AML Program Reviews

Comprehensive review and enhancement of your Anti-Money Laundering programs to ensure compliance.

Regulatory Mock Audits

Simulated regulatory audits to identify and address compliance gaps before actual inspections.

About Vincent Mascolo, CPA, CIM®

Meet our regulatory compliance expert with over 20 years of industry experience.

Vincent Mascolo

Vincent Mascolo, CPA, CIM®

Vincent is a regulatory compliance expert with over 20 years of experience in the financial industry. He has held senior roles at a registered firm (Barrage Capital), a regulatory authority (AMF), and a major financial institution (National Bank). He now offers his services as an independent consultant to help firms meet their regulatory obligations and strengthen internal controls.

Professional Experience & Expertise

  • Chief Compliance Officer and Chief Financial Officer experience
  • Compliance inspector and investment fund analyst
  • In-depth knowledge of Canadian securities regulation (31-103, 45-106, PCMLTFA, AMF/CSA rules)
  • Expert in governance, cybersecurity, training, and risk management

Clients

Vincent has extensive experience working with various financial institutions including:

Portfolio Managers Mutual Fund Dealers Investment Fund Managers Exempt Market Dealers Insurance Companies Distributing Investment Funds

Contact Us

Get in touch to discuss how we can help your organization with regulatory compliance.

Contact Information

Company

Regulatory Compliance Inc.

President and Privacy Officer

Vincent Mascolo, CPA, CIM

Phone

450-204-4757

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