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…
Ashley Thomassen.
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…
Caitlin Sainsbury, David Di Paolo.
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…
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.
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…