In this bulletin:

  1. OSC Publishes its 2021 Annual Report – What you Need to Know
  2. IIROC Releases Draft Competency Profiles for Directors, Executives, UDPs, CCOs and CFOs
  3. Québec Consults on the Complaint Handling Process
  4. CPAB Consults on its Disclosure of Audit Firm Reviews
  5. 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