Sep 28, 2023 | BLG Resource Corner
Like the warmth of an August sun bringing people together, we would like to take this opportunity to remind you of the relationship between AUM Law and BLG. AUM Law is a wholly-owned subsidiary of BLG and is integrated with BLG’s suite of managed and advisory services...
Mar 31, 2022 | Client-Focused Reforms (CFRs), Cyber-security and Data Privacy, Investment Funds, Regulatory Compliance
Earlier in March, the Investment Industry Regulatory Organization of Canada (IIROC) released its 2021/2022 Compliance Priorities Report, outlining its past actions and current issues that are impacting IIROC-regulated firms that should be a compliance focus for those...
Jan 31, 2022 | Regulatory Compliance
Regulators continue to review best practices relating to complaint-handling procedures. On January 13, the Investment Industry Regulatory Organization of Canada (IIROC) released proposed amendments respecting reporting, internal investigations and client complaint...
