My Blog List

Wednesday, 15 March 2017

IE’s Regulatory Reporter, March 2017 – Investment Executive

This is another installment of Regulatory Reporter, an online monthly feature from Investment Executive (IE) designed to help you stay up-to-date on key developments in the rapidly evolving regulatory and compliance landscape.


The summary can be viewed here.

Monday, 13 March 2017

Clearing up the confusion with outside business activities - Bessner

Whether you're considering a role on your cottage association's board, or the board of a public or private company, for profit or not-for-profit entity, or your club or community, err on the side of disclosure and seek permission from your dealer first, before you accept any outside business activity (OBA).

The full article goes on to describe the current regulatory requirements.

Thursday, 16 February 2017

A HR Perspective to Doing Business in Canada – Fasken Martineau

Fasken Martineau has just released this guide to employment law across Canada, that will be an excellent reference for the officer of a small to medium sized firm, who is responsible for HR.

It includes topics such as common and civil law employment, discrimination, privacy, government benefits to name just a few.

If you take just 5 minutes to review you will likely agree that it is very comprehensive and invaluable to your business.

The complete guide can be found here.

IE’s Regulatory Reporter, January 2017 – Investment Executive

This is the first installment of Regulatory Reporter, a new, online monthly feature from Investment Executive (IE) designed to help you stay up-to-date on key developments in the rapidly evolving regulatory and compliance landscape.

The summary can be viewed here.

Monday, 13 February 2017

Don’t get sued: The importance of monitoring client changes - Bessner

This is the third in a three part series on how advisors can reduce the risk of being sued. This column explores the importance of monitoring client changes and can be read here.

The second column, published on Jan. 16, was on the importance of really knowing your clients and can be accessed here.

The first column, published on Dec. 19, 2016, focused on how to scrutinize prospective clients carefully and can be found at this link.

Wednesday, 1 February 2017

AML Obligations - Reminder - AUM Law

This is a brief reminder from AUM Law for registrants about their ongoing anti-money laundering (AML) risk assessment obligations.

The extract from their January 2017 bulletin can be found here.

Friday, 20 January 2017

Cybersecurity: Finally Some Law (Part 2) – Understanding Cybersecurity Standards – Fasken Martineau

This bulletin is the second of a two part series reviewing recent Canadian and U.S. regulatory guidance on cybersecurity standards in the context of sensitive personal information. In this bulletin Fasken reviews additional guidance provided by the U.S. Federal Trade Commission (the “FTC”) in its opinion LabMD, Inc. v. Federal Trade Commission (the “FTC Opinion”), and draw certain conclusions as to what Canadian and U.S. regulators consider to be reasonable and appropriate privacy security measures.

The full article can be viewed here.