Tag: BLG

BLG’s Resource Corner

Our colleagues at BLG have provided the following insights we thought might interest our readers: Responsible use of artificial intelligence: Best practices for Canadian asset managers Updated guidance on preparing a modern slavery report in Canada Canadian Securities...

Bulletin | Sweet Dreams Edition | March 2024

In this bulletin: Wakeup Call: CIRO Compliance Priorities for 2024 Avoiding Nightmares – Updates to CSA Staff Notice on ESG Guidance for Funds Sleeping Soundly by Dealing with Fee Arrangement Conflicts Keepin’ up with KYP (or, How to Sleep Like a Baby) In Brief:...

Bulletin | Extra Day, Extra Insights Edition | February 2024

In this bulletin: OSC Releases Digital Engagement Report – Finding Stability Amidst Change Making Adjustments More than Once Every Four Years: Updating and Maintaining SEDAR+ Profiles CIRO Leaps Forward with New Proposed Borrowing Rules In Brief: Keeping Pace in 2024:...

BLG’s Resource Corner

Our colleagues at BLG have provided the following insights we thought might interest our readers: New trust reporting rules are now in effect Canada’s Anti-Spam Legislation – 2023 Year in Review Is the printed prospectus dead? CSA to implement access model for...

Bulletin | Polar Vortex Edition | January 2024

In this bulletin: Polar Precision: CIRO’s Proposals on Directed Commissions FSRA’s Proposed Approach for Vulnerable Consumers to Weather Financial Storms Skating on Thin Ice: FCSC Proposes New Rules Relating to Title Protection Cold Weather, Warm Access – CSA...

Bulletin | End of Year Edition | December 2023

In this bulletin: A Tale of Chilled Regulations: CSA Updates Expectations on Advisor Awards Heating up Financial Disputes: Proposed Changes for Binding Independent Dispute Resolution Service In Brief: Snow and Settling – CSA Finalizes Changes to Trade Matching Rule ▪...

BLG’s Resource Corner

Our colleagues at BLG LLP have written a number of thought-provoking articles our readers may be interested in, including the following: M&A trends for Canadian asset managers: BLG’s observations and insights looking ahead to 2024 Coming January 2024: Employer...

Bulletin | The Telly Edition | November 2023

In this bulletin: Rate your Priorities – OSC Releases Draft Statement of Priorities The Digital Transformation: OSC Report on Artificial Intelligence in Capital Markets Reporting Transparency on Air: Report on OBSI Oversight From Script to Screen: CIRO Releases...

BLG’s Resource Corner

Our colleagues at BLG LLP have written a number of thought-provoking articles our readers may be interested in, including the following: Understanding the Canadian Investment Regulatory Organization (CIRO): A quick primer OSC issues new summary report with guidance...

Bulletin | Ghoulishly Good Governance Edition | October 2023

In this bulletin: Multilateral Instrument 93-101 Derivatives: Business Conduct – A Labyrinth of Compliance Obligations The Witching Hour – AML/ATF Obligations for Mortgage Lenders are Here Reporting on Diversity – A Spellbinding Challenge In Brief: Break out the...