Sean D. Sadler

McCarthy Tétrault LLP

Legal Influencer

Q2 | 2019

Legal Influencers

Lexology’s Legal Influencers programme recognises firms and authors that provide excellent content within a work area and region. Find out more

Articles

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IIROC Sets Out 2020 Compliance Priorities for Dealers

Canada - January 10 2020 On December 20, 2019 the Investment Industry Regulatory Organization of Canada (IIROC) issued its 2020 compliance report highlighting its compliance...

Rene Sorell, Tyler Hawley, Cristian O. Blidariu.

Ban Announced on Mutual Fund Deferred Sales Charges and Certain Trailing Commissions

Canada - December 20 2019 The Canadian Securities Administrators (CSA) announced a final decision to prohibit certain types of embedded commissions for publicly offered mutual...

Rene Sorell, Cristian O. Blidariu, Sonia J. Struthers, Laure Fouin.

Interdiction du versement de frais d’acquisition reportés et de certaines commissions de suivi par les organismes de placement collectif

Canada - December 20 2019 Les Autorités canadiennes en valeurs mobilières (ACVM) ont annoncé leur décision finale d’interdire le versement de certaines commissions intégrées...

Rene Sorell, Cristian O. Blidariu, Sonia J. Struthers, Laure Fouin.

Mandatory Cybersecurity Incident Reporting for IIROC Investment Firms

Canada - December 18 2019 In November 2019, the Investment Industry Regulatory Organization of Canada (“IIROC”) released new mandatory reporting requirements for cybersecurity...

Michael Scherman, Erich Schultze, Cristian O. Blidariu.

IIROC Urges Dealers to Conduct Immediate Self-Assessment of Retail Client Account Agreements for Inappropriate Limitation of Liability Clauses

Canada - December 2 2019 Investment dealers frequently include in retail client account agreements clauses that seek to limit their liability to clients. In a recent Guidance...

Cristian O. Blidariu.