Court of Appeal Reiterates the Importance for Investors to Conduct Due...
The Court of Appeal of Quebec has rendered an important decision on the liability of securities dealers and investment advisors. In Mazzarolo v. BMO Nesbitt Burns ltée, 2013 QCCA 245, the Court of...
View ArticleSecond Phase of the CRM Project: Additional Disclosure of Charges and...
The Canadian Securities Administrators (the “CSA”) published a notice on March 28, 2013 outlining the amendments made to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing...
View ArticleAre You in a Conflict of Interest? Outside Business Activities Through the...
The Investment Industry Regulatory Organization of Canada (hereafter “IIROC”) published a Rules Notice on June 13, 2013, introducing the new Dealer Member Rule 43 which governs outside business...
View Article
More Pages to Explore .....
