Insights
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Bulletin | Poetic Perspectives Edition | April 2024
Regulatory compliance involves simplifying lengthy, complex regulatory developments into bite sized pieces. Here is our latest bulletin.
CIRO’s Ambitious Three-Year Strategic Plan
Introduction On April 11, 2024, the Canadian Investment Regulatory Organization (CIRO) released its three-year Strategic Plan. The...
Breaking Down FSRA’s 2024-27 Annual Business Plan
The Financial Services Regulatory Authority of Ontario (FSRA) recently released its 2024-27 Annual Business Plan (Plan) setting out its...
Phase 3 of CIRO’s Rule Consolidation Project
On April 18, 2024, the Canadian Investment Regulatory Organization (CIRO) published for comment Phase 3 of its Rule Consolidation Project...
Will the Money Pour in from Restricted Dealers New Fees
As first reported in our November 2023 bulletin, the Ontario Securities Commission (OSC) was consulting on new fees applicable to certain...
ASC and FCAA Extend Self-Certified Prospectus Exemption
The Alberta Securities Commission (ASC) and the Financial and Consumer Affairs Authority of Saskatchewan (FCAA) have extended the...
Ode to Market Data Access
Back in November, 2022 we wrote about CSA Consultation Paper 21-403 Access to Real-Time Market Data, which dealt with concerns about the...
Important Reminder: The Analyser: Use of the Words “Financial Advisor”
Earlier this month, the Financial Services Regulatory Authority of Ontario (FSRA) sent out a notice reminding industry members that the...
AUM – Compliance Reviews
Is your firm preparing for a regulatory examination? Are you ready? Do you want an independent assessment of your compliance program? Our...
AUM – AML Training
Securities dealers, including CIRO member dealers, are subject to Canada’s anti-money laundering (AML) and anti-terrorist financing (ATF)...
AUM – General Counsel Services
Chief Compliance Officers of securities dealers are regularly confronted with new issues and problems. Sometimes you need help to find a...
CIRO Compliance Priorities for 2024
On March 13, 2024, the Canadian Investment Regulatory Organization (CIRO) released its compliance priorities for the year. There is much...
Updates to CSA Staff Notice on ESG Guidance for Funds
The CSA published additional guidance on ESG investment fund disclosure practices on March 7, 2024. CSA Staff Notice 81-334 (Revised)...
Sleeping Soundly by Dealing with Fee Arrangement Conflicts
Since the CFRs in National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations came into effect the...
Keepin’ up with KYP
Registrants are reminded that your basement is not the only thing that may need some spring cleaning – it may be time to dust off the...
FSRA Releases Proposed Mortgage Licensing Suitability Guidance
On March 6, 2024, the Financial Services Regulatory Authority of Ontario (FSRA) released proposed guidance (Proposed Guidance) outlining...