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In Brief- March 2016
  • AUM Law Professional Corp
  • Canada
  • March 31 2016

The 2016 Investment Executive Regulators' Report Card polled 109 CCOs and other company executives from firms regulated by self-regulating

Important financial services changes in 2014 Budget
  • Blake Cassels & Graydon LLP
  • Canada
  • February 14 2014

The Economic Action Plan 2014, as the federal government calls its budget, tabled in the House of Commons on February 11, 2014 contains a number of

Fraud and misconduct by financial intermediaries
  • McMillan LLP
  • Canada
  • May 8 2012

Fraud or its synonyms “dishonesty, infidelity, faithlessness, perfidy, unfairness etc...” is the direct antithesis of “trust, good faith, fidelity, fiduciary etc...” which are the hallmarks of the relationship between a financial institution and its clients

Department of finance initiates consultations on strengthening AMLATF regime
  • Stikeman Elliott LLP
  • Canada
  • 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
  • Canada
  • 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 budget 2010 financial sector highlights
  • Fasken Martineau DuMoulin LLP
  • Canada
  • March 4 2010

The March 4, 2010 federal budget, Leading the Way on Jobs and Growth, contains a number of initiatives related to the financial sector

Investment management update: recent regulatory issues affecting adviser and dealer firms
  • McMillan LLP
  • Canada
  • March 31 2008

In addition to the recent publication of a revised version of National Instrument 31-103 Registration Requirements, there have been a number of other regulatory developments since the beginning of 2008 which may affect or be of interest to registered advisers and dealers involved in the Canadian investment management industry

Jack R. Hayes
  • Steptoe & Johnson LLP

Cynthia O’Donoghue
  • Reed Smith LLP

C. Dawn Jetten
  • Blake Cassels & Graydon LLP