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Cet été, soyez proactifs : révisez votre politique de prévention du harcèlement psychologique!
Cette année, qui dit automne, dit entrée en vigueur de modifications à la Loi sur les normes du travail (Loi).
On January 10, the Financial Industry Regulatory Authority, Inc. (FINRA) released its 2023 annual Report on Examination and Risk Monitoring Program (the Report). The Report distills findings from FINRA's regulatory operations programs, including Member Supervision, Market Regulation and Enforcement, to provide insight into FINRA's current regulatory focus and priorities.
The Report is intended to serve as a tool for member firms to strengthen their compliance programs as needed. Towards this end, for each topic covered, the Report identifies relevant rules; highlights key compliance related considerations; summarizes noteworthy findings or observations; outlines effective practices and identifies additional resources that may be helpful to member firms.
As stated in the news release announcing the Report's publication, while the Report includes a number of "perennially important topics," it also has been broadened by the addition of four new topics consisting of:
More generally, the topics covered by the Report are organized under five section headings consisting of:
Of these, only the Financial Crimes heading is new. The Report states that its inclusion is intended to "highlight FINRA's increased focus on protecting investors and safeguarding market integrity against" the topics listed under this heading. Those topics consist of Anti-Money Laundering (AML), Fraud and Sanctions; Cybersecurity and Technological Governance and Manipulative Trading, which is a newly added topic.
While most of the covered topics are perennial concerns that have been addressed in prior Reports, the Report's coverage of even these topics frequently reflects new observations and considerations. As a result, FINRA member firms would likely benefit from a careful comparison of their current practices against all the relevant information identified in the Report, including topics covered in previous FINRA reports.
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Cette année, qui dit automne, dit entrée en vigueur de modifications à la Loi sur les normes du travail (Loi).
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Une action visant à réclamer des dommages liés à de fausses dénonciations à la police est-elle soumise à la prescription d’un an de l’article 2929 du Code civil du Québec (C.c.Q.) applicable aux actions fondées sur une atteinte à la réputation?
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Depuis le 1ᵉʳ janvier 2024, en vertu de la législation fédérale du Canada, les entreprises d’une certaine taille qui produisent, vendent, distribuent ou importent des marchandises au Canada ont l’obligation de présenter, au plus tard le 31 mai de chaque année, un rapport sur les risques de recours au travail forcé et au travail des enfants dans leurs leurs chaînes commerciales et chaînes d’approvisionnement et les efforts déployés pour les limiter.
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