Regulatory

BLG’s roundup of summer OSFI initiatives Fallback Image Decorative pattern

Industry

BLG’s roundup of summer OSFI initiatives

Every month, law firm BLG summarizes federal legislative developments that apply to financial institutions.

By Staff |July 23, 2014

1 min read

ASC collects more than $2 million in admin penalties Fallback Image Decorative pattern

Industry

ASC collects more than $2 million in admin penalties

The ASC concluded fewer investigations in fiscal 2014, but collected more penalties.

By Staff |July 21, 2014

1 min read

MFDA releases discussion paper on investor questionnaires Fallback Image Decorative pattern

Industry

MFDA releases discussion paper on investor questionnaires

The MFDA has published a discussion paper on the use of investor questionnaires to improve the Know-Your-Client (KYC) process.

By Staff |July 21, 2014

1 min read

IIROC bans former rep and branch manager Fallback Image Decorative pattern

Industry

IIROC bans former rep and branch manager

Following a disciplinary hearing in Edmonton, Alberta, an IIROC hearing panel imposed penalties on a former rep and branch manager.

By Staff |July 18, 2014

1 min read

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