Enlarge text Enlarge text Enlarge text    Print

Practice Profile

Registration and Compliance

Newsletters

07/14/2010 When the Regulator Comes Knocking
06/22/2010 Public Availability of Information from Regulatory Investigations
04/28/2010 It's the OSC...What Should I Expect?
04/07/2010 Client Complaint Box - Preparing Dealers for the Workout Ahead
03/19/2010 The New Insurance Rules for Portfolio Managers
03/18/2010 EMD Insurance Requirements (Part 2)
03/04/2010 Canada’s First Criminal Conviction for Insider Trading
02/04/2010 The Use of Settlement Documents in Civil Proceedings
02/03/2010 Reasonable or Unreasonable - If the Regulator Asks for It...
12/18/2009 Know Your Client - Not Intimately!
09/11/2009 Ultimate Designated Person and Chief Compliance Officer
09/08/2009 Exemption from Exempt Market Dealer Registration
09/08/2009 Financial Reporting and NAV Adjustments
09/08/2009 Managing Investment Funds
09/03/2009 New International Adviser Exemption
09/03/2009 New International Dealer Exemption
08/28/2009 Relationship Disclosure Rules
08/28/2009 Investment Fund Managers - Proficiency, Capital and Insurance Requirements
08/28/2009 Exempt Market Dealers - New Proficiency, Capital and Insurance Requirements
08/24/2009 What You Need to Know About Transition Under the New Rules
08/19/2009 Registration: A Powerful New Tool for Regulators
08/11/2009 What You Need to Know About the Business Trigger