May 5, 2022 | News
A compilation of the most commonly used national and multilateral instruments and policies affecting registered financial services firms and individuals. Updated to include amendments to National Instruments 31-103 and 33-109 and their Companion Policies that came...
Apr 21, 2022 | News
“Getting out of Dodge is not the Answer” By Ellen Bessner and Aaron Gold BABIN BESSNER SPRY LLP When faced with an investigation or hearing an advisor’s first instinct may be to leave the industry or be uncooperative when in fact these actions...
Apr 7, 2022 | News
“Sanctions Ordered by SROs Facing Increased Scrutiny from Regulators” By Aaron Gold and Ellen Bessner BABIN BESSNER SPRY LLP Aaron and Ellen outline real-life examples that suggest that provincial securities regulators may be increasing their willingness...
Apr 5, 2022 | News
“Serving Fewer Clients Can Lead to a Big Payoff” By Ellen Bessner BABIN BESSNER SPRY LLP Feeling overwhelmed with advisor obligations? Many advisors are. Ellen suggests that one of the ways for advisors to protect their licence, is by reducing the number...
Mar 10, 2022 | News
The ACCP recently made a donation to the Canadian Red Cross in support of humanitarian efforts for needy and displaced families and individuals as result of the ongoing conflict and tensions in the Ukraine. As an organization, with members across Canada, the ACCP is...
Feb 22, 2022 | News
“6-Part CFR Series: Preparing For The Client-Focused Reforms” – Susan Silma Don’t miss out! Susan’s 6-part CFR series tackles multiple areas of client focused reforms, from KYP to KYC, working with vulnerable clients, evidencing...
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