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IIROC 2017 Enforcement Report Released
  • Borden Ladner Gervais LLP
  • Canada
  • May 5 2018

The Investment Industry Regulatory Organization of Canada (IIROC) has released its 2017 Enforcement Report, indicating that total


Guidance to Exempt Market Dealers on Account Opening Procedures
  • McMillan LLP
  • Canada
  • March 30 2018

On December 19, 2017, the Alberta Securities Commission (the "ASC") published ASC Notice 31-701 Account Opening Assistance (the "Notice") to provide


Guidance to Exempt Market Dealers on Account Opening Procedures
  • McMillan LLP
  • Canada
  • March 6 2018

On December 19, 2017, the Alberta Securities Commission (the "ASC") published ASC Notice 31-701 - Account Opening Assistance (the "Notice") to provide


The CSA Release A New and Improved Suppression of Terrorism Report
  • McMillan LLP
  • Canada
  • March 5 2018

Further to our most recent McMillan Client Alert, the Canadian Securities Administrators ("CSA") have published CSA Staff Notice 31-352 Monthly


IIROC Proposes Two New Forms of Disciplinary Action Against Dealer Firms and Approved Individuals
  • McCarthy Tétrault LLP
  • Canada
  • March 5 2018

Recently, the Investment Industry Regulatory Organization of Canada (IIROC) proposed two new disciplinary programs (the Programs) that will be of


CSA Comment on Registrants’ Cybersecurity and Social Media Practices
  • Blake Cassels & Graydon LLP
  • USA, Canada
  • October 23 2017

The Canadian Securities Administrators (CSA) have published Staff Notice 33-321 Cyber Security and Social Media (Staff Notice 33-321), which


AMF releases paper on managing conflicts of interest related to incentives in insurance
  • Osler Hoskin & Harcourt LLP
  • Canada
  • September 8 2017

The Autorité des Marchés Financiers (the “AMF”) recently released an issues paper on managing conflict of interest risk in relation to incentives


Auditor Held to Owe Duty to “Client’s Clients”
  • Borden Ladner Gervais LLP
  • Canada
  • September 7 2017

In Lavender v. Miller Bernstein LLP, Justice Belobaba heard a motion by the representative plaintiff for summary judgment on several of the common


NI 31-103 Amendments: EMDs Banned from Prospectus Offerings
  • Stikeman Elliott LLP
  • Canada
  • August 3 2017

Under a series of amendments to National Instrument 31-103 - Registration Requirements, Exemptions and Ongoing Registrant Obligations published on


CSA amendments to NI 31-103 and NI 33-109 to enhance custody requirements and housekeeping changes
  • McMillan LLP
  • Canada
  • July 27 2017

On July 27, 2017, the Canadian Securities Administrators ("CSA") published final amendments to National Instrument 31-103 Registration Requirements