May 30, 2024 | Mortgage and Real Estate Investment Vehicles, Regulatory Compliance
The Consumer Advisory Panel (Panel) to the Financial Services Regulatory Authority of Ontario (FSRA) provides advice from a consumer perspective on policy and regulatory matters and initiatives, among other duties. Earlier this month, the Panel released its report for...
Mar 28, 2024 | Canadian Investment Regulatory Organization (CIRO), COVID-19, Regulatory Compliance
Back in the early (and dark) days of the pandemic, we published our April 2020 Bulletin Working From Home Edition. We followed that up with an article in our May 2020 Bulletin titled “May an associate advising representative work remotely or in a one-person branch...
Aug 31, 2023 | Canadian Investment Regulatory Organization (CIRO), Regulatory Compliance
Staff from the Canadian Securities Administrators (the CSA) and the Canadian Investment Regulatory Organization (CIRO) recently issued a reminder to CCOs and UDPs of the prohibition against misleading communications resulting from advisor ranking contests. Reminder of...
May 31, 2023 | BLG Resource Corner
Our colleagues at BLG have provided the following insights we thought might interest our readers: Cyber risk management guidance for Canadian corporate directors – 2023 Update Climate-related disclosures: The Big Three’s proxy voting guidance and expectations Canada’s...