Investor Protection

Exempt Market Dealer: Private Issuer and the Accredited Investor There are changes afoot. The issues include, but are not limited to, proposed amendments to National Instrument 45-106 and its definitions of Private Issuer and Accredited Investor Exemptions; and Trapeze Asset Management. The Canadian Securities Administrators (CSA) completed pu...
Posted: 5/16/2012 4:30:16 PM by MSI

The Importance of Communication

The importance of communication is critical between broker and client.  Ryan Mitchell was featured in Canadian Underwriter Magazine speaking about communication with clients and the role of social media.  To read the full version of the article please click here.
Posted: 5/3/2012 11:37:04 AM by MSI

Systemic Loss

Here is some new press that should be viewed as a great reminder of risk of systemic loss in any industry.  It is also a great example of an accepted practice being judged in hindsight as unacceptable. MetLife Settlement Near $500 million, here.  This is the CBSNEW.com version, but there are many others available.   As fa...
Posted: 4/26/2012 2:48:22 PM by MSI

Ryan Mitchell featured in Profit Magazine

Ryan Mitchell comments on risk management for small businesses. Click here to read the article featured in the April 2012 issue of Profit Magazine.  Discussion includes topics such as Risk Management, Directors & Officers Liability, Professional Liability, Errors & Omissions Liability, Cyber Liability, General Liability and Proper...
Posted: 4/10/2012 1:01:54 PM by MSI

Fund Management Risk and Class Actions in Canada

This recent decision by the Court of Appeal For Ontario will (or should) have fund managers and other regulated professionals on the edge of their seats. On January 27, 2012, in Fischer v. IG Investment Management Ltd., 2012 ONCA 47, here, Justices Winkler C.J.O., Epstein J.A. and Pardu J., determined that both lower courts erred in their consid...
Posted: 2/16/2012 4:27:10 PM by MSI

Cyber Risk Insurance Coverage

“Everybody needs it, and most companies don’t realize they don’t have it until it’s too late.” This was a quote by Jacob Olcott, a principal with Good Harbor Consulting’s cybersecurity team, in a recent NY Times article, here.I don’t see the logic in this statement, but then, I am an insurance broker. If...
Posted: 2/2/2012 5:35:17 PM by MSI

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