How luck am I? I got to start off my morning speaking with Legal Design great, Hannele Korhonen. Even though it was the morning in Ontario (the afternoon for Hannele in Finland), our discussion about Legal Design and how it can be effectively used in regulatory Compliance was anything but a “snoozefest”. Check out […]
In July 2021, the CSA published Notice of Amendments to NI 31-103 and the Companion Policy entitled Registration Requirements, Exemptions and Ongoing Registrant Obligations to Enhance Protection of Older and Vulnerable Clients. These amendments were adopted by IIROC and the MFDA (jointly CIRO). This is an excerpt from a 30+ minute Compliance Training video created
https://vimeo.com/713449767?share=copy
CSA’s Client Focused Reforms on Suitability, Know-Your-Client, Know-Your-Product – How these Regulatory Obligations “Fit” Together.
Consumers should be cautious of celebrity endorsements when choosing a FinTech
FinTechs and Celebrity Endorsements – Do Consumers Need More Clarity? Read More »
