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IIROC released its annual Exemption Report, which provides a summary of the exemptions granted last year from certain UMIR and Dealer Member Rule provisions.

IIROC released its 2016 Compliance Priorities last week, cautioning pioneers of the FinTech wave that compliance efforts will be closely following the industry's technological advancements.

On August 14, the Investment Industry Regulatory Organization of Canada (IIROC) issued a request for comments on draft guidance concerning the compensation arrangements offered by dealer members to retail clients.

The IIROC has recently released a notice to address inquiries received regarding amendments to UMIR, effective March 1, that are intended to align IIROC's trading supervisory requirements with the requirements found in NI 23-103 Electronic Trading.

The Investment Industry Regulatory Organization of Canada (IIROC) has released its finalized Guidance on Marketplace Thresholds.

The Investment Industry Regulatory Organization of Canada yesterday released a notice respecting its expectations in regards to part-time chief financial officers

The Investment Industry Regulatory Organization of Canada today republished revised proposed rules to consolidate certain enforcement and related rules found in the UMIR and Dealer Member Rules.

IIROC announced earlier this week that, effective immediately, it will no longer intervene to vary or cancel odd lot trades that execute at unreasonable prices.

We previously wrote on Finance Canada's proposed expansion of the reporting requirements for Canadian trusts, including the proposed expansion of the rules to capture bare trust arrangements.

On May 14, 2015, the B.C. Societies Act, created under Bill 24, received royal assent.

In this video from our CBB Corporate Counsel Insights Series, partner Ellen Bessner discusses crisis management.

This week, Louis Morisset, the President and CEO of Quebec's Autorité des marchés financiers announced that they "have made suppressing illegal insider trading and market manipulation a top priority".

The Alberta Court of Appeal referred an insider trading sanctions of $1.75m in administrative penalties back to the Alberta Securities Commission ("ASC") because it saw no clear basis for the penalty that did not apparently consider the individual's financial difficulties.

This case affirms that a hunch or suspicion held by an insider does not rise to the level of "material" information upon which one is precluded from trading.

Effective September 10, 2015, the TSX Company Manual was amended to expand exemptions available for interlisted issuers from TSX Company Manual requirements relating to acquisitions, financings and corporate governance.

The need for an internal investigation often arises in the midst of a crisis where both internal and external pressures create the risk of internal chaos.

Under the IGA signed between Canada and the U.S., non-exempt Canadian Financial Institutions are required to register on the IRS FATCA portal.