Dec 21, 2023 | Canadian Investment Regulatory Organization (CIRO), Client-Focused Reforms (CFRs), Investment Funds, Regulatory Compliance
Staff of the Canadian Securities Administrators (the CSA) and the Canadian Investment Regulatory Organization (CIRO) recently published an update to previously published guidance on the Client Focused Reforms – FAQs on the CFRs dated December 6, 2023. In the update,...
Dec 21, 2023 | Investment Funds, Regulatory Compliance
In late November, the Canadian Securities Administrators (the CSA) published a Request for Comment proposing amendments to certain complaint handling provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (NI...
Dec 21, 2023 | Regulatory Compliance
Earlier this month, the Canadian Securities Administrators (CSA) finalized amendments to National Instrument 24-101 Institutional Trade Matching and Settlement, which we wrote about most recently in our August bulletin here. The amendments facilitate the shortening of...
Dec 21, 2023 | Investment Funds, Regulatory Compliance
The Systemic Risk Committee of the Canadian Securities Administrators recently released results from its second annual systemic risk survey provided to market participants. This year, the survey was completed by 489 investment dealers and portfolio managers between...
Dec 21, 2023 | Investment Funds, Regulatory Compliance
If you haven’t yet turned your mind to your annual exempt trade reports for investment fund issuers, now is the time. As noted in last month’s bulletin, investment funds relying on specified prospectus exemptions under National Instrument 45-106 Prospectus Exemptions...
Dec 21, 2023 | BLG Resource Corner
Our colleagues at BLG LLP have written a number of thought-provoking articles our readers may be interested in, including the following: M&A trends for Canadian asset managers: BLG’s observations and insights looking ahead to 2024 Coming January 2024: Employer...
