Compliance

Worried about conflicts of interest? IIROC and MFDA are watching Fallback Image Decorative pattern

Industry

Worried about conflicts of interest? IIROC and MFDA are watching

Managing potential conflicts of interest is an important part of your job, as is meeting the compliance and disclosure requirements related to such conflicts.

By Katie Keir |December 16, 2016

3 min read

Mark your calendar: Jan release for embedded commissions paper Fallback Image Decorative pattern

Industry

Mark your calendar: Jan release for embedded commissions paper

The Canadian Securities Administrators (CSA) is waiting until January 10, 2017 to publish a consultation paper about the option of discontinuing embedded commissions.

By Staff |December 16, 2016

1 min read

Does your compensation create conflicts? Fallback Image Decorative pattern

Industry

Does your compensation create conflicts?

The Canadian Securities Administrators (CSA) has published a staff notice that looks at firms' compensation arrangements and incentive practices that are used to motivate representatives’ day-to-day behaviours.

By Staff |December 15, 2016

2 min read

ASC to adopt disclosure for representation of women on boards Fallback Image Decorative pattern

Industry

ASC to adopt disclosure for representation of women on boards

The Alberta Securities Commission (ASC) announced today that it will adopt amendments to National Instrument 58-101 Disclosure of Corporate Governance Practices (NI 58-101) and Form 58-101F1 Corporate Governance Disclosure. The amendments require non-venture reporting issuers in Alberta to provide annual disclosure in their proxy circular or annual information form for the following: Read: Number of […]

By Staff |December 15, 2016

1 min read