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
- Amended Regulation Annual Reports Canada Canadian Securities Administration Client Services Disclosure Requirements Fees Securities
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
- Appeals Due Diligence Investment Adviser Investors Portfolio Managers Securities Dealers
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