The COSO Framework offers useful guiding principles that
can be applied in establishing and operating an effective regulatory
compliance program; it strives for continuous improvement to
close compliance gaps and integrates all levels of the organization,
naturally creating a compliance culture that is understood and
practiced by the organization as a whole. The COSO Framework
has already proven to be effective in demonstrating regulatory
compliance in the financial reporting context, and we have illustrated
in this article that its timeless principles are also applicable and
scalable to the regulatory compliance context for EMDs.
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TIP! To scale the compliance program, reiterate necessary steps in the Control
Activities, Information and Communication, and Monitoring Activities components
to mitigate increasingly more significant risks, for example; mitigate the top 10
risks in the first iteration, and then expand to the top 20 risks in the next iteration.
403.984.6570 Info@TriviewCapital.com 815 - 1st Street SW , Calgary AB
On behalf of the Board of Directors, we are proud to announce that Tim Kocsar has joined our firm
as the Chief Operating Officer. “As our company continues to grow, we feel the need to expand our
executive. With over 20 years in the financial services industry, Tim brings a wealth of talent to the
TriView team”, says Craig Burrows, President & CEO.
In his new role he will be responsible for growing the representative base and transitioning quality advisors
into the firm. Previous to joining TriView Capital as the COO, Tim was the COO of Walton Capital
and International Group Inc. He held senior executive positions with leading financial organizations,
including CI Financial/Assante Wealth Management and Equinox Financial Group.
About TriView Capital Ltd. TriView is a registered EMD across Western Canada that focuses on private and alternative
investments. The partners have senior executive experience in portfolio management, investment banking and M&A. The
partners have raised and financed over $6 billion in the private & alternative markets through institutional investors.
TriView Capital Ltd. Announcement
Visit www.TriviewCapital.com For More Information
Chief Operating Officer, TriView