
Publication
Navigating international trade and tariffs
Impacts of evolving trade regulations and compliance risks
Canada | Publication | March 2020
The Canadian Securities Administrators (CSA) recently published for comment proposed amendments to National Instrument 31-103 – Registration Requirements, Exemptions and Ongoing Registrant Obligations (the Amendments) taking aim at eradicating financial exploitation among vulnerable investors, and seeking to provide a measure of certainty and clarity to registrants when faced with situations involving aging clients and/or clients suffering from diminished mental capacity.
The Amendments were jointly developed by the Mutual Fund Dealers Association of Canada (MFDA) and the Investment Industry Regulatory Organization of Canada (IIROC) and will remain open for comment until June 3, 2020.
If adopted, the Amendments would impose positive obligations on investment advisors, when dealing with vulnerable clients, to:
Subject to the nature of comments received, the CSA anticipates that the proposed amendments will come into force at the same time as the Client Focused Reforms relating to enhanced “Know Your Client” (KYC) requirements. The complete Amendments can be found here.
Publication
Impacts of evolving trade regulations and compliance risks
Publication
As discussed in our previous look at the 2025 proxy season, the rapid development of artificial intelligence (AI) technologies has elevated AI to a core governance concern for shareholders, and as AI continues to dominate headlines, the urgency of finding a balance between transparency, responsibility, and return on investment for shareholders is likely to spur a growing number of AI-related shareholder proposals in the coming years.
Publication
As Canadian businesses deal with tariff uncertainty and trade protectionism, the federal government has announced its intention to introduce rules promoting domestic goods and services in government contracting by most federal departments and agencies.
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