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financial regulation

By McCarthy Tétrault LLP | 2 Minutes Read April 24, 2020

IIROC defers collection of its fees for small and medium-size dealer firms

IIROC announced this week that it is deferring collection of its fees for small and medium-size IIROC dealer member firms in light of the COVID-19 situation. The deferral will benefit almost 90% of all IIROC dealers, but will only apply as follows:

Article by McCarthy Tétrault LLP / Business, Finance and Accounting / banking and financial services, financial regulation, Mergers and acquisitions, securities Leave a Comment

By Norman D. Marks, CPA, CRMA | 2 Minutes Read October 1, 2019

Cyber and the board

There’s an interesting article in the Harvard Law School Forum on Corporate Governance and Financial Regulation. What the Capital One Hack Means for Boards of Directors has some interesting insights that merit the attention of risk, cyber, audit, and governance practitioners.

Article by Norman D. Marks, CPA, CRMA / Business, Finance and Accounting, Information Technology, Privacy / corporate governance, cyber attack, cyber defence, cyber prevention, cyber risk, cybercrime, cybersecurity, digital interconnectivity, financial regulation, risk management

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