Maureen Doherty
Borden Ladner Gervais LLP
Articles
MFDA issues further guidance on the use of electronic signatures
Canada - June 12 2020 On June 8, 2020, the Mutual Fund Dealers Association of Canada (MFDA) released Bulletin #0825-P (Electronic Signatures), which address updates to…
COVID-19 update from IIROC and the MFDA
Canada - March 18 2020 In the wake of the increasing concern about the COVID-19 novel coronavirus, the Investment Industry Regulatory Organization of Canada (IIROC) and the…
OSC and CSA announce changes to DSC for 2022
Canada - March 3 2020 In recent years, securities regulators have grown concerned over investor protection issues relating to the deferred sales charge (DSC) option in…
IIROC Releases Bulletin on Limitation of Liability & Exclusionary Clauses
Canada - October 29 2019 On October 10, 2019, the Investment Industry Regulatory Organization of Canada (IIROC) released Notice 19-0177 which outlined that certain…
James D.G. Douglas, Caitlin Sainsbury, David Di Paolo, Julie Mansi, Lance Spitzig.
MFDA Releases new Seniors & Vulnerable Clients Bulletin
Canada - October 28 2019 A TCP is a person that an advisor may call when he or she has reasonable concerns about a client's mental capacity. A TCP is not intended to be a…
