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.
Reinvent your policies, procedures & governance documentation
Policies, Procedures & Forms – Old School versus the New School Method Read More »
I’ve said it before and I’ll say it again. Legal design is not just “lipstick on a pig”. It has real, practical uses in the law, and particularly in litigation. In my previous blog, I explored some uses for Legal Design that included “Documentation and Policy Design”, also called “Informational Design” but with a legal twist.
Using Legal Design in Litigation Read More »
In my earlier blog, I introduced readers to the concept of Legal Design and arguing that there is no one-size-fits-all definition. We also talked about three potential applications of the Design Thinking methodology in the approach to Legal Design (1. Document and Policy Design – the layout, the plain language; 2. Service Design – re-designing something
