Results 1 to 5 of 9

Accountants and AML

Canada - July 25 2014 As regulators have stepped up enforcement activity for money laundering offences, resulting in some eye-popping fines, it seems a good time to review…

Mutual funds point of sale stage 2: an opportunity to revisit NP 11-201 Electronic Delivery of Documents

Canada - November 21 2012 When the Canadian Securities Administrators ("CSA") released a re-written National Policy 11-201 Electronic Delivery of Documents ("NP 11-201") in November 2011, the potential impact of the amendments may have slipped by, relatively unnoticed by dealers.

Introducing point of sale Stage 2 for mutual funds: the impact on dealers selling mutual funds

Canada - November 21 2012 A careful reading of the pronouncements of the Canadian Securities Administrators ("CSA") discloses that in all likelihood, Stage 2 of the point of sale ("POS") initiative will become reality during 2013.

Are charities inadvertently acting as mortgage brokers or administrators?

Canada - June 27 2011 Ever since Anglo-Saxon times, lenders have advanced money on the security of land.

Jones v. Harris: decision by U.S. Supreme Court provides guidance to investment funds industry

Canada - August 13 2010 Few lawyers who attended law school in the eighties and nineties can have failed to come across the writings of Richard Posner, surely one of the most energetic and prolific academics ever to have graced a Senior Common Room.