Canadian Securities Regulatory Monitor

News and insight by McCarthy Tétrault's Securities Regulation and Investment Product Group

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Banking & Financial Services

Read IIROC Sets Out 2020 Compliance Priorities for Dealers IIROC Sets Out 2020 Compliance Priorities for Dealers IIROC Sets Out 2020 Compliance Priorities for Dealers

By Cristian O. Blidariu ...

Cristian O. Blidariu
Banking & Financial Services

Read Ban Announced on Mutual Fund Deferred Sales Charges and Certain Trailing Commissions Ban Announced on Mutual Fund Deferred Sales Charges and Cert... Ban Announced on Mutual Fund Deferred Sales Charges and Certain Trailing Commissions

By Cristian O. Blidariu ...

Cristian O. Blidariu
Banking & Financial Services

Read IIROC Urges Dealers to Conduct Immediate Self-Assessment of Retail Client Account Agreemen... IIROC Urges Dealers to Conduct Immediate Self-Assessment of... IIROC Urges Dealers to Conduct Immediate Self-Assessment of Retail Client Account Agreements for Inappropriate Limitation of Liability Clauses

By Cristian O. Blidariu ...

Cristian O. Blidariu
Banking & Financial Services

Read CSA Finalizes Client Focused Reforms CSA Finalizes Client Focused Reforms CSA Finalizes Client Focused Reforms

By Sonia J. Struthers ...

Sonia J. Struthers
Banking & Financial Services

Read CSA Published Guidance on Expectations for Compliance Consultants Performing Regulatory Ma... CSA Published Guidance on Expectations for Compliance Consul... CSA Published Guidance on Expectations for Compliance Consultants Performing Regulatory Mandates

By Rene Sorell ...

Rene Sorell
Banking & Financial Services

Read OSC and CSA Publish Priorities for the Coming Years OSC and CSA Publish Priorities for the Coming Years OSC and CSA Publish Priorities for the Coming Years

By Robert O. Hansen ...

Robert O. Hansen
Banking & Financial Services

Read SEC Issues “No-Action” Letter in Connection with the Sale of Digital Tokens by Pocketful o... SEC Issues “No-Action” Letter in Connection with the Sale of... SEC Issues “No-Action” Letter in Connection with the Sale of Digital Tokens by Pocketful of Quarters

By Dean C. Masse ...

Dean C. Masse
Banking & Financial Services

Read IIROC Proposes Significant Changes to Continuing Education Rules IIROC Proposes Significant Changes to Continuing Education R... IIROC Proposes Significant Changes to Continuing Education Rules

By Cristian O. Blidariu ...

Cristian O. Blidariu

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