Tag: UDP

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...

Bulletin | Autumn Edition | September 2021

In this bulletin: OSC Publishes its 2021 Annual Report – What you Need to Know IIROC Releases Draft Competency Profiles for Directors, Executives, UDPs, CCOs and CFOs Québec Consults on the Complaint Handling Process CPAB Consults on its Disclosure of Audit Firm...

Bulletin | Dive-in Edition | July 2020

In this bulletin: Ontario’s Capital Markets Modernization Task Force Releases Consultation Report CSA Publishes Guidance on Flexible CCO Arrangements Watch Out or Wash Out: Coinsquare Executives Learn That Innovation Isn’t a Free Pass to Violate Securities Laws...