Aug 30, 2024 | Investment Funds, Regulatory Compliance
In Québec, the Regulation respecting complaint processing and dispute resolution in the financial sector (the Regulation) comes into effect on July 1, 2025. This regulation follows the consultation that the Autorité des marchés financiers (AMF) conducted in November...
Mar 31, 2023 | Corporate Finance, Regulatory Compliance
Building off of the Office of the Superintendent of Financial Institution’s (OSFI’s) Culture Risk Management Letter published on March 15, 2022 and the ensuing feedback, OSFI has published a draft Culture and Behaviour Risk Guideline (Proposed Guideline) for...
Jan 31, 2023 | Investment Funds, Regulatory Compliance
The Autorité des marchés financiers (AMF) released another draft regulation relating to complaint handling, which is being published for comment for the second time. The draft regulation respecting complaint processing and dispute resolution in the financial sector is...
Oct 31, 2022 | BLG Resource Corner
Our colleagues at BLG have provided the following insights we thought might interest our readers: Winter and FATCA/CRS audits are coming for financial institutions Proposed access-based model for investment funds’ financial disclosure Cybersecurity framework and...
Jan 31, 2022 | Investment Funds, Regulatory Compliance
On January 20, the Canadian Securities Administrators (the CSA) published CSA Notice and Third Request for Comments on Derivatives Business Conduct (the Notice), the CSA’s draft publication setting out rules intended to better protect OTC derivatives market...
Jan 31, 2022 | Client-Focused Reforms (CFRs), Corporate Finance, Investment Funds, Regulatory Compliance
Related to OSC Staff Notice 33-753 OSC Consultation on Tied Selling and Other Anti-Competitive Practices in the Capital Markets, on December 7 the Ontario Securities Commission (the OSC) commenced a desk review, also known as the OSC Product Review Sweep (the Sweep),...
