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Searching Content indexed under Compliance by Borden Ladner Gervais LLP ordered by Published Date Descending.
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1
OSC Settles First Ever Case Regarding Best Execution Obligation For Advisers
On July 19, 2019, the Ontario Securities Commission (OSC) approved a settlement with Caldwell Investment Management Ltd. (CIM) over failures to comply with the best execution obligation
Canada
6 Aug 2019
2
Doing Business In Nunavut: Complying With Nunavut's Language Laws
If you do business in Nunavut — or you are planning to — you need to be aware of your legal obligations for language and communication.
Canada
25 Apr 2019
3
Frequently Asked Questions – Compliance With PIPEDA's Security Breach Obligations
PIPEDA regulates the collection, use and disclosure of "personal information" in the course of a "commercial activity" by private sector organizations in all provinces and territories
Canada
15 Mar 2019
4
Safe Food For Canadians Regulations Change Compliance Landscape For Food Businesses
The Safe Food for Canadians Regulations (SFCR) under the Safe Food for Canadians Act (SFCA) came into force on January 15, 2019.
Canada
11 Feb 2019
5
CRTC Issues Guidance For Avoiding Indirect Liability For CASL Violations
In November 2018, the Canadian Radio-television and Telecommunications Commission ("CRTC") issued an Information Bulletin regarding Canada's Anti-Spam Legislation (commonly known as "CASL").
Canada
7 Jan 2019
6
Five Steps To Compliance With Privacy Consent Guidelines
On January 1, 2019, the Privacy Commissioner of Canada will begin enforcing Guidelines for obtaining meaningful consent, which impose requirements for obtaining legally valid privacy consents.
Canada
17 Dec 2018
7
Canadian FATCA And CRS Compliance Updates
It has now been almost five years since Canada entered into the Canada-United States Enhanced Tax Information Exchange Agreement (the IGA), which was implemented by the Canada-United States...
Canada
12 Dec 2018
8
Privacy Commissioner's Guidance For Compliance With PIPEDA's Breach Of Security Safeguards Obligations
On October 29, 2018 the Office of the Privacy Commissioner of Canada ("OPC") issued a guidance document titled "What you need to know about mandatory reporting of breaches of security safeguards" (the "Guidance") ...
Canada
6 Nov 2018
9
Weeding Out Compliance Issues: The Dos And Don'ts Of Marketing Cannabis And Cannabis Products Under Canada's New Cannabis Act
On October 17, 2018, new legislation and regulation will come into force making cannabis use legal in Canada.
Canada
18 Oct 2018
10
Auditor Liability Revisited: Lavender v. Miller Bernstein LLP
Several common issues were certified on consent, including inter alia whether the auditor owed a duty to the class and, if so, whether it breached that duty.
Canada
12 Sep 2018
11
CSA Releases Its Review Of The MFDA
On July 4, 2018, the Canadian Securities Administrators ("CSA") released their Oversight Review Report of the Mutual Fund Dealers Association of Canada ("MFDA"), covering the period...
Canada
25 Jul 2018
12
BLG Securities Law Resource: Annual Reporting & Continuous Disclosure Rules Book
For Canadian public companies, the New Year signals that a new proxy season is just around the corner
Canada
21 Feb 2018
13
Ontario Court Of Appeal Releases Highly Anticipated Decision On Insider Trading In Finkelstein V. Ontario Securities Commission
The Ontario Court of Appeal has released its eagerly-awaited decision in the latest chapter of the Finkelstein et al. insider trading and tipping case saga ...
Canada
9 Feb 2018
14
Charter Of The French Language
Under the Charter of the French Language, French is both the official language of Qu้bec and the normal language of work (employees have a right to carry on their activities in French) and commerce (consumers of goods and services have a right to be informed and served in French).
Canada
29 Sep 2017
15
OSC Issues Annual Summary Report For Dealers, Advisers And Investment Fund Managers
On July 11, 2017, the OSC issued its Annual Summary Report for Dealers, Advisers and Investment Fund Managers (OSC Staff Notice 33-748).
Canada
27 Jul 2017
16
ASC Releases Results Of EMD Sweep And Best Practices And CSA Provides Guidance On Small Firms Compliance And Regulatory Obligations
On May 10, 2017, the Alberta Securities Commission (the "ASC") released the results of its exempt market dealer ("EMD") compliance reviews (the "Sweep"), which was set out in ASC Notice 33-705...
Canada
20 Jun 2017
17
CASL – Government Suspends Private Right of Action
The Government of Canada published today an Order in Council suspending the implementation of the private right of action under Canada's Anti-Spam Legislation (commonly known as "CASL").
Canada
7 Jun 2017
18
Preparing For CASL's Private Right Of Action
Statutory damages for a contravention of CASL's CEM rules are subject to a maximum of $200 for each contravention, not exceeding...
Canada
19 May 2017
19
Less Is More — The CSA Considers Significantly Streamlining Prospectus And Continuous Reporting Disclosure
On April 6, 2017, the Canadian Securities Administrators (the "CSA") released Consultation Paper 51-404 — Considerations for Reducing Regulatory Burden for Non-Investment Fund Reporting Issuers in which it discusses, and asks for feedback on, potentially sweeping changes to the rules governing prospectus offerings as well as continuous reporting obligations for Canadian reporting issuers other than investment funds.
Canada
24 Apr 2017
20
#NoMaterialInformation – CSA Provides Guidance On Social Media Use
Before sending out that next tweet or posting to a blog, hit the pause button and consider whether the timing and content pass muster. Reporting issuers and their representatives must take note of Staff Notice 51-348
Canada
13 Apr 2017
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