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OSFI releases draft revised corporate governance guideline

Stikeman Elliott LLP
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Canada
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August 14 2012

On August 7, 2012, Canada's federal financial institutions regulator, the Office of the Superintendent of Financial Institutions (OSFI), released for comment a draft of its long-awaited revised Corporate Governance Guideline (the Revised Guideline

Quebec's Complaint Reporting System - reminder of semi-annual filings for registrants in Quebec

Stikeman Elliott LLP
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Canada
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July 6 2012

Firms registered or otherwise licensed by the AMF in Québec, including as securities dealers or advisers, must file their semi-annual report of client complaints on the AMF’s Complaint Reporting System (CRS) by July 30 covering the period of January 1 to June 30

Department of finance initiates consultations on strengthening AMLATF regime

Stikeman Elliott LLP
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Canada
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February 7 2012

Late last year, the Department of Finance released a consultation paper seeking views on measures to further strengthen the Canadian anti-money laundering (AML) and anti-terrorist financing (ATF) regime

Compensation for victims of financial fraud considered by AMF

Stikeman Elliott LLP
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Canada
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December 9 2011

Quebec's Autorité des marchés financiers today launched a public consultation to consider a potential compensation system for consumers of financial products and services that have been victims of fraud

Federal government announces proposed negative option billing regulations

Stikeman Elliott LLP
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Canada
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March 18 2011

On March 8, the Canadian Department of Finance announced proposed Regulations prohibiting most negative option billing practices in the financial services sector

FSA proposes changes to complaints handling standards

Stikeman Elliott LLP
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Canada
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October 6 2010

On September 30, 2010, the U.K. Financial Services Authority (FSA) released a consultation paper proposing changes to its rules regarding how financial firms handle consumer complaints

AMF publishes investment management guidelines for financial institutions

Stikeman Elliott LLP
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Canada
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July 22 2010

On July 15, 2010, Quebec's financial services regulator, the Autorité des marchés financiers (the AMF), published two guidelines with respect to the investment management practices of financial institutions, including insurers, portfolio management companies controlled by an insurer, mutual insurance associations, financial services cooperatives and trust and savings companies governed by any of the following Quebec acts

G-20 Toronto Summit declaration speaks of financial reform

Stikeman Elliott LLP
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Canada
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June 29 2010

On June 27, the G-20 Toronto Summit concluded with the release of a Declaration by members outlining next steps "to ensure a full return to growth with quality jobs, to reform and strengthen financial systems, and to create strong, sustainable and balanced growth

UK to overhaul financial regulation

Stikeman Elliott LLP
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Canada
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June 17 2010

In a June 16 speech at the Lord Mayor's Dinner for Bankers & Merchants of the City of London, the Chancellor of the Exchequer outlined a plan to reform financial regulation in Britain

IIROC publishes notice regarding product due diligence

Stikeman Elliott LLP
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Canada
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March 24 2009

On March 23, 2009, the Investment Industry Regulatory Organization of Canada (IIROC) published a notice providing guidance on the introduction and supervision of new financial products