Nov/09: IIROC requests comments on draft guidelines on KYC and suitability. Click Here for article.
Jan/10: KYC, Suitability,Accredited Investors, Permitted Client: What is an exempt market dealer required to do? Click Here for article.
Feb/10: IIROC Notice on best practices for head office supervision of branch offices. Click Here for article.
Mar/10: IIROC requests comments on draft notice regarding non-arm’s length products. Click Here for article.
Apr/10: Sales Tax Tremors! Will financial services continue to be exempt from GST/HST? Click Here for the article.
May/10: Proposed IIROC Plain Language Rules 3100: Business Conduct and 3200: Client Accounts. Click Here for article.
Sep/10: Proposed amendments to National Instrument 31-103: Registration Requirements and Exemptions. Click Here for article.
Dec/10: Proposed IIROC Plain Language Rules 3400 to 3900: Suitability, sales practices, communications with the public, complaints, books and records, supervision. Click Here for article
Feb/11: RR Incorporation: Here we go again. Click Here for article
Mar/11: The Client Relationship Model: Ready for Prime Time? Click Here for article
May/11: New COMSET Filing Requirements – another IIROC rule change by edict. Click here for article
Jun/11: IIROC’s Draft Guidance on Outside Business Activities: Want to be on your church’s board? Better get you firm’s and regulatory approval! Click here fore article
Jul/11: Changes to National Instrument 31-103. Click here for article
Nov/11: Consultation paper on proposed amendments to the customer due diligence requirements of the Proceeds of Crime (Money Laundering) and Terrorist Financing Regulations. Click here for article
Feb/12: Federal Government consultation paper: Strengthening Canada’s Anti-Money Laundering and Anti-Terrorist Fnancing Regime Click here for article