The third annual CRM2 guide reviews a range of complex issues that have emerged for advisors and their firms
Alberta adopts prospectus exemption rule for start-ups
Guidance includes specific direction and examples on issues such as integrity and client trust
Areas highlighted for attention include investor protection, market fairness, enforcement and technology
Owners of foreign property who consistently failed to file lose appeal
Tax Court of Canada finds that family were visiting from China, not residing in new home, in disallowing $24,000 rebate
The Supreme Court’s decision affirms solicitor-client privilege as “a principle of fundamental justice”
Issues include trial by jury for securities offences and treatment of monetary penalties
Advisors must understand what “delivery” means — including the exceptions — to ensure they’re prepared to meet the new requirements
Some insurance products and ETFs are in regulators’ sights