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Results: 1-10 of 335

Mystery shopping report offers insight into investment advisor practices
  • Stikeman Elliott LLP
  • Canada
  • September 21 2015

On September 17, 2015, the OSC, IIROC and MFDA released the results of their joint "Mystery Shopping for Investment Advice" initiative. This exercise

Proposed initial regulations on registration requirements and exemptions
  • Gowling Lafleur Henderson LLP
  • Canada
  • August 27 2015

On August 25, 2015, the participating provinces and territory in the Cooperative Capital Markets Regulatory System achieved an important milestone

Federal financial institutions legislative and regulatory reporter - March 11, 2015
  • Borden Ladner Gervais LLP
  • Canada
  • March 11 2015

The Reporter provides a monthly summary of significant international and Canadian federal legislative and regulatory developments of relevance to

Year in review: legislation and guidance for financial institutions in 2014
  • Blake Cassels & Graydon LLP
  • Canada
  • January 20 2015

2014 was a year replete with new legislative and regulatory initiatives impacting federally regulated financial institutions. The key initiatives

BLG 2015 Canadian financial institutions regulatory outlook
  • Borden Ladner Gervais LLP
  • Canada
  • January 13 2015

2014 was another year of considerable regulatory change for Canadian financial institutions. In recent years, Canadian regulators have been focused

The financial report December 11, 2014 - news from the Americas
  • DLA Piper LLP
  • Canada, USA
  • December 11 2014

In what may be viewed as a watershed event in insider trading jurisprudence, the Second Circuit unanimously struck down the convictions of Todd

Osler’s insights on key developments in 2014 and their implications for Canadian business.
  • Osler Hoskin & Harcourt LLP
  • Canada
  • December 9 2014

Four securities regulatory developments in 2014 warrant special attention:The Canadian Securities Administrators (CSA) proposed a new “permitted bid”

International regulatory update - 10 14 November 2014
  • Clifford Chance LLP
  • Canada, European Union, Germany, Global, Hong Kong, Poland
  • November 18 2014

The EU Council has adopted the regulation on key information documents for packaged retail and insurance-based investment products (PRIIPS). The

Derivatives sound practices draft guideline released for federally- regulated financial institutions in Canada
  • Borden Ladner Gervais LLP
  • Canada
  • October 9 2014

On October 1, 2014, the Office of the Superintendent of Financial Institutions (OSFI) released draft Guideline B-7 Derivatives Sound Practices

The financial report July 10, 2014 - news from the Americas
  • DLA Piper LLP
  • Canada
  • July 10 2014

The securities regulatory authorities in Saskatchewan, Manitoba, Québec, New Brunswick, Nova Scotia, Newfoundland and Labrador, Northwest Territories