Jun 30, 2021 | Investment Funds, Regulatory Compliance
On June 4, 2021, the Mutual Fund Dealers Association of Canada (MFDA) published Account Transfers – Summary of Comments (Bulletin), summarizing the comments that the self-regulatory organization received in response to MFDA Consultation Paper on Account Transfers...
Jun 30, 2021 | Regulatory Compliance
A recent settlement between an Alberta-based registrant and the Investment Industry Regulatory Organization of Canada (IIROC) presents a sharp reminder to all registrants about the importance of keeping their OBAs up to date. In a June 4, 2021 settlement with IIROC,...
Jun 30, 2021 | Investment Funds, News, Regulatory Compliance
On May 19, CFA Institute published its Exposure Draft of ESG Disclosure Standards for Investment Products (the Exposure Draft). The draft is the second proposed version of standards (the Standards) on principles, requirements and recommendations in connection with the...