Jun 30, 2021 | Cyber-security and Data Privacy, Regulatory Compliance
In case you missed it, the Canadian Securities Administrators (CSA) and the Investment Industry Regulatory Organization of Canada (IIROC) published a joint statement on February 1, 2021 around the time when trading in GameStop Corp., AMC Entertainment Holdings Inc.,...
Mar 26, 2020 | COVID-19, FAQs, Regulatory Compliance
Answer: The pandemic is likely to be a life event for many individual clients, who might experience, among other things, a loss or significant decrease in employment or business income, a significant decrease in the value of their investments, and/or become seriously...
Feb 28, 2020 | FAQs, Regulatory Compliance
Answer: Registrants have an obligation to deal fairly, honestly and in good faith with their clients. Among other things, this means that registrants must ensure that their marketing materials (and any representations that they make in social media) are clear,...
