In this bulletin: From Concepts to Compliance: OSC Consults on Long-Term Asset Funds What’s New for Dealers – CIRO Releases Phase 4 of the Rule Consolidation Project OSC Examines AI-Enhanced Scams: Investing Smartly In Brief: Building Up CIRO’s Proficiency...
In this bulletin: Getting to the Root of Continuous Disclosure for Investment Funds: Proposed Modernization Nurturing Compliance: CSA Publishes FAQ on Derivatives Business Conduct Rule OSC Study on Ripening Changes of AI in Retail Investing In Brief: Fruitful Updates...
In this bulletin: Sound Justice: OSC Proposal on Disgorgement Orders An Orchestrated Collection of Information – 2024 CSA Investor Index Next in the Festival Line Up: Understanding New Complaint Handling Regulations in Québec In Brief: Dancing to FINTRAC’s Beat:...
In this bulletin: OSC’s Annual Summary Report for Dealers, Advisers and Investment Fund Managers: A Layered Regulatory Sundae CSA’s Cool Recap of the Year in Review CIRO’s Serving up Proposals for Proficiency ASC’s 2024 Annual Report Scoop In Brief: The Assorted...
In this bulletin: A Balancing Act: New Time-Limited Expansion of Permitted EMD Activities FSRA’s Gearing up for Change: Consultation on Total Cost Reporting for Segregated Funds In Brief: 2023 Annual Report of OSC’s Investor Advisory Panel: Staying Safe ▪ Watching...
In this bulletin: OSC Releases Hot Strategic Plan for 2024-2030 Experimenting with Flavours and Exemptions – Supporting Early-Stage Ontario Businesses Charred and Charted – Did CRM2 Work? In Brief: Grilling of Disclosure – Is it Clear and Conspicuous Enough? ▪ ...
In this bulletin: Verse and Versatility – CIRO’s Ambitious Three-Year Strategic Plan Compliance in Stanzas: Breaking Down FSRA’s 2024-27 Annual Business Plan Crafting Connections: Phase 3 of CIRO’s Rule Consolidation Project In Brief: Will the Money Pour in from...
In this bulletin: Wakeup Call: CIRO Compliance Priorities for 2024 Avoiding Nightmares – Updates to CSA Staff Notice on ESG Guidance for Funds Sleeping Soundly by Dealing with Fee Arrangement Conflicts Keepin’ up with KYP (or, How to Sleep Like a Baby) In Brief:...
In this bulletin: OSC Releases Digital Engagement Report – Finding Stability Amidst Change Making Adjustments More than Once Every Four Years: Updating and Maintaining SEDAR+ Profiles CIRO Leaps Forward with New Proposed Borrowing Rules In Brief: Keeping Pace in 2024:...
In this bulletin: Polar Precision: CIRO’s Proposals on Directed Commissions FSRA’s Proposed Approach for Vulnerable Consumers to Weather Financial Storms Skating on Thin Ice: FCSC Proposes New Rules Relating to Title Protection Cold Weather, Warm Access – CSA...
In this bulletin: A Tale of Chilled Regulations: CSA Updates Expectations on Advisor Awards Heating up Financial Disputes: Proposed Changes for Binding Independent Dispute Resolution Service In Brief: Snow and Settling – CSA Finalizes Changes to Trade Matching Rule ▪...
In this bulletin: Rate your Priorities – OSC Releases Draft Statement of Priorities The Digital Transformation: OSC Report on Artificial Intelligence in Capital Markets Reporting Transparency on Air: Report on OBSI Oversight From Script to Screen: CIRO Releases...
In this bulletin: Multilateral Instrument 93-101 Derivatives: Business Conduct – A Labyrinth of Compliance Obligations The Witching Hour – AML/ATF Obligations for Mortgage Lenders are Here Reporting on Diversity – A Spellbinding Challenge In Brief: Break out the...
In this bulletin: Compliance Café – OSC Staff Summary Report for Investment Fund and Structured Product Issuers Brewing Compliance Trends: Joint CSA and CIRO Review of Registrants’ Conflicts of Interest Practices CSA Year in Review; Fall’s Well that Ends Well In...
In this bulletin: In the Dog House – Misleading Communications and Advisor Ranking Contests Summer Supervision: FSRA’s Plan for Credentialing Bodies Like a Cloudless August Sky, Ministry of Finance Quietly Proposes New Authorized Purposes for Enforcement Money...
