Sep 8, 2022 | News
The Canadian Council of Insurance Regulators (CCIR) and the Canadian Insurance Services Regulatory Organizations (CISRO) have released for public consultation a discussion paper on upfront compensation paid for the sale and servicing of segregated funds and individual...
Jul 28, 2022 | News
Introducing SEDAR+, the new web-based application for regulatory filings and issuer information in Canada. This short video provides an overview of the phased rollout of the new system, which provides an improved experience for all users, with new functionality and...
Jul 25, 2022 | News
“Best Kept Secret about KYC” By Ellen Bessner BABIN BESSNER SPRY LLP How important is the client’s investment knowledge/sophistication when determining suitability? Very important – Ellen explains that this criterion can impact both a judge’s and...
Jul 19, 2022 | News
2022 MFDA Compliance Credit – Available until: December 1, 2023 CE Credits: 1 MFDA Compliance Credit Language: English and French. Find out more
Jun 6, 2022 | News
“Big Fat Questions to Get Clients Talking” By Ellen Bessner BABIN BESSNER SPRY LLP While we understand that regulators require advisors to collect sufficient detail about each client to enable them to exercise their professional judgment to meet their...
May 30, 2022 | News
Learn about who can be your Trusted Contact Person and why having one can provide an extra layer of protection for your financial accounts. Naming a Trusted Contact Person can be particularly helpful for seniors and vulnerable...
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