In this bulletin:
- A Matter of Time: FSRA Consultation on Licensing Requirements for Mortgage Agents and Brokers
- It’s Still Ongoing – OSC Continues with its Conflict of Interest Focused Reviews
- Improved ESG Disclosure in Scope as CSA Targets Changes to National Instrument 43-101 Standards of Disclosure for Mineral Projects
- Canadian Securities Regulators Reduce Regulatory Burden Related to the Interpretation of the Primary Business Requirements
- OSC Finalizes Statement of Priorities – Going Green
In Brief: Save Those Exemption Requests – IIROC Proposes Amendments Respecting the Codification of Certain UMIR Exemptions ▪ Saving the World One Prospectus at a Time – Proposed Amendments to Implement an Access Equals Delivery Model for Non-Investment Fund Reporting Issuers ▪ Additional Derivatives Proposals Taking Root
Important Reminders: Compliance Checkup – Is your Investment Management Agreement Compliant?
FAQ Corner: Records Retention – Do Firms Need to Keep Documents Forever? ▪ Fixing the Leaks: Common OSC Audit Questions
BLG’s Resource Corner
Click the link to access a PDF of our full, monthly bulletin summarizing these recent developments. >> Monthly Bulletin | Get Ready for Warmer Weather Edition | April 2022