Aug 17, 2022 | BLG Resource Corner
Our colleagues at BLG have provided the following insights we thought might interest our readers: OSFI’s new Guideline B-13 – Managing technology and cyber risks An update on new Québec confidentiality incidents and record-keeping requirements Legal implications of...
Jan 31, 2020 | Client-Focused Reforms (CFRs), Featured, Regulatory Compliance
In this bulletin: Client-Focused Reforms: A Closer Look at the Misleading Communications, RDI, Compliance Training and Record-Keeping Rules IIROC and FINRA Publish Their Compliance Priorities for 2020 Get Ready to RAQ and Roll IIROC Fines Registered Representative for...
Jan 31, 2020 | Client-Focused Reforms (CFRs), Regulatory Compliance
As we reported in our October 2019 special bulletin, the Canadian Securities Administrators (CSA) have finalized their client-focused reforms (CFRs) to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (NI 31-103) and...
