Marie-Noël Rochon

Marie-Noël Rochon

Aird & Berlis

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Are You in a Conflict of Interest? Outside Business Activities Through the Lens of the Regulator

The Investment Industry Regulatory Organization of Canada (hereafter “IIROC”) published a Rules Notice on June 13, 2013, introducing the new Dealer Member Rule 43 which governs outside business activities and personal...more

6/26/2013 - Canada Conflicts of Interest Financial Actvities New Regulations

Second Phase of the CRM Project: Additional Disclosure of Charges and Performance Reports

The Canadian Securities Administrators (the “CSA”) published a notice on March 28, 2013 outlining the amendments made to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (“NI...more

4/29/2013 - Amended Regulation Annual Reports Canada Canadian Securities Administration Client Services Disclosure Requirements Fees Securities

Court of Appeal Reiterates the Importance for Investors to Conduct Due Diligence

The Court of Appeal of Quebec has rendered an important decision on the liability of securities dealers and investment advisors. In Mazzarolo v. BMO Nesbitt Burns ltée, 2013 QCCA 245, the Court of Appeal, in accordance with...more

2/25/2013 - Appeals Due Diligence Investment Adviser Investors Portfolio Managers Securities Dealers

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