What's Happening

• Eight U.S. states, led by N.Y., sue SEC over the conduct standard adopted for brokers | September 10, 2019
• New IIROC rulebook to take effect in June 2020 | August 22, 2019
• OSC report indicates that investors are still confused about what they are paying advisers/dealers | August 19, 2019
• OSC's Compliance and Registrant Regulation Branch publishes its annual report | August 8, 2019
• OSC publishes its priorities for the year ahead | June 27, 2019
• IIROC sets out its Three-Year Strategic Plan | June 4, 2019
• MFDA releases its annual enforcement report | May 1, 2019
• IIROC proposes amendments to deal with minor violations and provide incentive for early resolutions | April 25, 2019
• Greg is quoted in Law Times about the importance of clear writing and the right approach to factum writing | March 25, 2019
• The International Organization of Securities Commissions publishes its 2019 priorities | March 25, 2019