Tag: Reporting of Registrant Information

Bulletin | Summer – We’re Halfway There! Edition | June 2021

In this bulletin: Giving the Green Light to ESG Disclosure – CFA Institute Publishes Draft ESG Disclosure Standards for Investment Products Social Media and Market Manipulation MFDA’s Initiative on Improving Client Account Transfers – Will CSA Follow Suit? Outside...

Bulletin | To the Future and Beyond Edition | May 2021

In this bulletin: BLG Transaction – New Beginnings All Together Now – OSC Joins DSC Ban Titles, Titles and More Titles – Notice of Changes and Request for Further Comment on Financial Professionals Title Protection Rule Important Reminders: CFR Requirements...

Bulletin | Hello Spring Edition | April 2021

In this bulletin: Updates on Amendments re Syndicated Mortgages FINTRAC Publishes Guidance on Politically Exposed Persons and Heads of International Organizations ASC Notice and Request for Comment re Blanket Order 31-536 Alberta Small Business Finder’s Exemption CSA...

Bulletin | Winter’s End Edition | February 2021

In this bulletin: Interview with Richard Roskies regarding Client Focused Reforms and Know-Your-Product Provisions Outside Activities 2.0: Potential Burden Reduction Comes to Reporting of Registrant Information FAQ Corner: Activities 2.0: Potential Burden Reduction...