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IIROC Notice 14 0044: borrowing for investment purposes suitability and supervision

  • Borden Ladner Gervais LLP
  • -
  • Canada
  • -
  • March 7 2014

This Guidance Notice focuses on investor loans obtained from a third party for the purposes of investment ("off-book lending") and holds that dealers

Federal financial institutions legislative and regulatory reporter

  • Borden Ladner Gervais LLP
  • -
  • Canada
  • -
  • February 28 2014

The Reporter provides a monthly summary of federal legislative and regulatory developments of relevance to federally regulated financial institutions

The 2014 Canadian federal Budget and financial services

  • Borden Ladner Gervais LLP
  • -
  • Canada
  • -
  • February 13 2014

The 2014 Budget of the Government of Canada includes a number of significant financial sector policy initiatives of interest to financial

IIROC enforcement decisions and settlements

  • Borden Ladner Gervais LLP
  • -
  • Canada
  • -
  • February 4 2014

Pariak-Lukic (“Lukic”) as adviser, suggested second mortgages to long time clients through a private company (Lakepoint). Her husband was the

Federal financial institutions legislative and regulatory reporter

  • Borden Ladner Gervais LLP
  • -
  • Canada
  • -
  • January 28 2014

The Reporter provides a monthly summary of federal legislative and regulatory developments of relevance to federally regulated financial institutions

Federal financial institutions legislative and regulatory reporter

  • Borden Ladner Gervais LLP
  • -
  • Canada
  • -
  • December 24 2013

The Reporter provides a monthly summary of federal legislative and regulatory developments of relevance to federally regulated financial institutions

Final Prepaid Card Regulations and new Consumer Protection Code announced

  • Borden Ladner Gervais LLP
  • -
  • Canada
  • -
  • December 17 2013

In the first week of December 2013, the Canadian federal government announced the final publication of the Prepaid Payments Products Regulations (the

Federal financial institutions legislative and regulatory reporter

  • Borden Ladner Gervais LLP
  • -
  • Canada
  • -
  • November 29 2013

The Reporter provides a monthly summary of federal legislative and regulatory developments of relevance to federally regulated financial institutions

Supreme Court of Canada provides comfort on the law of guarantees

  • Borden Ladner Gervais LLP
  • -
  • Canada
  • -
  • November 20 2013

Last week, the Supreme Court of Canada dismissed the leave to appeal application in Royal Bank of Canada v. Samson Management & Solutions, a case

Regulatory guidance for cyber risk self-assessment

  • Borden Ladner Gervais LLP
  • -
  • Canada
  • -
  • November 5 2013

Canadian financial regulators have issued guidance for the self-assessment of cyber security practices. The guidance emphasizes the need for senior