In this bulletin:
- OSC Publishes its 2021 Annual Report – What you Need to Know
- IIROC Releases Draft Competency Profiles for Directors, Executives, UDPs, CCOs and CFOs
- Québec Consults on the Complaint Handling Process
- CPAB Consults on its Disclosure of Audit Firm Reviews
- A Trusted Contact Person and a POA
In Brief: Canadian Securities Regulators Announce Launch of Refreshed Website ▪ Changes to the Ministry of Finance Requirements for Corporate Dissolutions ▪ NRD Filing Reminders ▪ Minor Amendments to the STCS Guide ▪ FSRA’s Proposed Guidance on Exemption from Mortgage Brokerage License Requirements
FAQ Corner: What Are a Registrant’s Know-Your-Product and Suitability Obligations in Respect of a Client-Directed Trade?
BLG’s Resource Corner
News: PMAC Fall Regulatory and Compliance Webcast – October 21
Click the link to access a PDF of our full, monthly bulletin summarizing these recent developments. >> Monthly Bulletin | Autumn Edition | September 2021