Tag: KYP

Bulletin | BBQ Season Edition | May 2024

In this bulletin: OSC Releases Hot Strategic Plan for 2024-2030 Experimenting with Flavours and Exemptions – Supporting Early-Stage Ontario Businesses Charred and Charted – Did CRM2 Work? In Brief: Grilling of Disclosure – Is it Clear and Conspicuous Enough?  ▪ ...

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 ▪...

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...

Bulletin | Month of Change Edition | September 2023

In this bulletin: Compliance Café – OSC Staff Summary Report for Investment Fund and Structured Product Issuers Brewing Compliance Trends: Joint CSA and CIRO Review of Registrants’ Conflicts of Interest Practices CSA Year in Review; Fall’s Well that Ends Well In...

Bulletin | Paws & Reflection Edition | August 2023

In this bulletin: In the Dog House – Misleading Communications and Advisor Ranking Contests Summer Supervision: FSRA’s Plan for Credentialing Bodies Like a Cloudless August Sky, Ministry of Finance Quietly Proposes New Authorized Purposes for Enforcement Money...

Bulletin | Anti-Boredom Edition | July 2023

In this bulletin:  A Visit from Old Friends – OSC Releases Annual Summary Report for Dealers, Advisers and Investment Fund Managers  Learning Something New – CIRO’s Proposed New Proficiency Model A Trip Around Alberta – ASC Releases 2023 Annual Report Never a Dull...