Legal and Regulatory Affairs Bulletins (Login Required)

Legal and Regulatory Affairs Bulletins (Login Required)

2023 Bulletins

Verdict is Out for Advisor Chargeback
July 2023

Bulletin: T-1 to T+1
May 2023

Bulletin: Exit Stage Left: Curtains Down on DSC this June 
March 2023

Bulletin: Looking Ahead: Regulatory Change in 2023
January 2023

2022 Bulletins

Bulletin: Being Upfront About Commissions
November 2022

Bulletin: Total Cost Reporting – What You Need to Know
October 2022

Bulletin: New Self-Regulatory Organization releases Interim Rules
August 2022

Bulletin: Segregated Funds Under the Microscope
May 2022

Bulletin: It’s the Credentials that Count!
April 2022

Bulletin: CSA Finalizes Rules for Outside Activity Reporting
February 2022

Bulletin: Looking Ahead: Regulatory Change in 2022
January 2022

2021 Bulletins

Bulletin: The MFDA’s New CE Program: Key Details for Advisors
November 2021

Bulletin: The Titles They Are A-Changin’: An Update on Financial Professionals Title Protection
November 2021

Bulletin: ESG Investing: It’s Not Easy Being Green
August 2021

Bulletin: Regulatory Developments in Retail Cryptocurrency Investments
May 2021

Bulletin: Securities Regulators Propose Changes to Outside Activity Reporting
March 2021

Bulletin: Ontario’s Capital Market Modernization Taskforce Releases Final Report
February 2021

Bulletin: Looking Ahead – Regulatory Change in 2021
January 27, 2021

Technology Bulletin: The Tech Task Force Needs Your Input!
January 11, 2021

2020 Bulletins

Technology Bulletin: Technology Task Force Proudly Introduces DigiCat
December 21, 2020

Bulletin: A Regulatory Retrospective on 2020
December 14, 2020

Technology Bulletin: Introducing the Revamped Technology Task Force
November 1, 2020

Bulletin: Beneficiary Designations at Risk
September 10, 2020

Bulletin: Supreme Court Upholds Law Banning Genetic Discrimination
August 5, 2020

Bulletin: IIROC Releases its Vision for Improving Self-Regulation
June 10, 2020

Bulletin: Canada’s securities regulators propose tools to protect vulnerable clients
May 12, 2020

Bulletin: B.C.’s Financial Services Authority clarifies its position on the donation of life policies
May 4, 2020

Technology Bulletin: Consumer-Directed Finance and the Future of Financial Advice
April 15, 2020

Bulletin: The MFDA’s Vision for a Modern SRO
February 25, 2020

Bulletin: Looking Ahead Regulatory Change in 2020
January 15, 2020

Submissions Archive

Bulletin: Split Decision on the Fate of Deferred Sales Charges
September 2019

Bulletin: Gaining Momentum: Title Protection Arrives in Saskatchewan
August 2019

Bulletin: Canadian Securities Administrators Release Revised Client Reforms
July 2019

Bulletin: Staying on Top of Fintech Developments
June 2019

Video: Interview with Ed Skwarek about the Ontario Budget and Professions Model
May 2019

Bulletin: CLHIA Withdraws Guideline 19
May 2019

Bulletin: OSC Issues Moratorium on Late Filing Fees for Outside Business Activities
April 2019

Bulletin: Advocis takes action on CLHIA Guideline 19
March 2019

 

Bulletin: Ontario takes major step towards professionalization of financial advisors
February 2019

Bulletin: Structural change on the horizon for Canadian securities and Ontario insurance regulation
February 2019

Bulletin: PIPEDA Privacy Breaches: Reporting, Notification & Record-keeping
November 2018

Bulletin: Ontario Government Consulting on the Regulation of Financial Planners
March 2018