In this bulletin:

  1. Giving the Green Light to ESG Disclosure – CFA Institute Publishes Draft ESG Disclosure Standards for Investment Products
  2. Social Media and Market Manipulation
  3. MFDA’s Initiative on Improving Client Account Transfers – Will CSA Follow Suit?
  4. Outside Business Activities (OBAs) Reporting Reminder
  5. What Comes Next: KYC, KYP and Suitability
  6. Reforms in Even Sharper Focus – IIROC and MFDA Publish Draft CFR Guidance

Important Reminders: AODA’s June 30 Compliance Report Deadline

In Brief: Proposed Amendments to Regulatory Functions of the Bourse de Montreal Inc. ▪ Changes to AML Rules – Effective on June 1, 2021 ▪ Start-Up Crowdfunding Exemptions are Revved up and Ready to Go ▪ Hello, Goodbye – CSA Grants Interim Relief for DSC Sales ▪ New Brunswick Proposes Local Rule Impacting Funds in that Province

FAQ Corner: Non-Qualified Syndicated Mortgage Investments (NQSMIs) by FSRA and the OSC, What Should Firms Operating in this Space Keep in Mind? ▪ What Procedures are Required Before My Firm Can Accept Referred Business from a Third-Party? ▪ Does Claiming Compliance with GIPS Standards Require Third-Party Verification?

BLG’s Resource Corner


Click the link to access a PDF of our full, monthly bulletin summarizing these recent developments. >> Monthly Bulletin | Summer – We’re Halfway There! Edition | June 2021