In this bulletin:

  1. A Matter of Time: FSRA Consultation on Licensing Requirements for Mortgage Agents and Brokers
  2. It’s Still Ongoing – OSC Continues with its Conflict of Interest Focused Reviews
  3. Improved ESG Disclosure in Scope as CSA Targets Changes to National Instrument 43-101 Standards of Disclosure for Mineral Projects
  4. Canadian Securities Regulators Reduce Regulatory Burden Related to the Interpretation of the Primary Business Requirements
  5. 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