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...
In this bulletin: A Visit from Old Friends – OSC Releases Annual Summary Report for Dealers, Advisers and Investment Fund Managers Learning Something New – CIRO’s Proposed New Proficiency Model A Trip Around Alberta – ASC Releases 2023 Annual Report Never a Dull...
In this bulletin: FSRA Consults Further on the UDAP Rule and Impactful Fee Choices Federal Review of AML Regime with Global Implications CIRO’s Annual Priorities Released: Star Map Set for the New Regulator In Brief: CSA Launches TCR Implementation Committee ▪ CSA...
In this bulletin: RegTech 24/7 – OSC Releases First Report on TestLab What’s on the AMF’s Agenda this Year? 2023-2024 Annual Statement of Priorities Published It’s Business Plan Season – FSRA’s Annual Plan BCSC Annual Report Card Illuminates Issues with Conflicts In...
In this bulletin: Better Days Ahead: Proposed Amendments Regarding Diversity Disclosure AMPed for Spring: FSRA Proposes Guidance on Administrative Monetary Penalties FSRA Proposes Guidance to Cut Down Mortgage Fraud Three more Sakura Seasons, then Total Cost Reporting...
In this bulletin: Don’t Stay Away too Long – Revised Guidance Published for Issuers Relying on the Offering Memorandum Prospectus Exemption Watch that Spring Break Behaviour – OSFI Issues Guideline on Culture and Behaviour Risk Eat, Beach, Sleep, Repeat – New SRO...
In this bulletin: Taking Care of One Another – New SRO Releases Proposal on Distributing Funds to Harmed Investors Conflicts of Interest Requirements – More Than Once Per Year In Brief: In Sync – Ontario’s Ownership Transparency Obligations Now in Force ▪ A...
In this bulletin: Changes to Offering Memorandum Prospectus Exemption – Will New Issues be Grounded? Ontario’s Exempt Market (But Not Penguins) See Continued Growth FSRA Announces Consultation on Proposed Guidance on IT Risk Management – Filtering Out the Salt...
In this bulletin: OSC Seeks Feedback on 2023-24 Statement of Priorities; It’s Good to Have Goals CSA Consults on Access to Real-Time Market Data; No Pain, No Gain In Brief: Keep Calm and Soccer On; OSC Announces New Fee Rules as of April 2023 (or you Really Do Have to...
In this bulletin: OSC Publishes its 2021-2022 Annual Report – Squad Ghouls Hocus Pocus Everyone Focus – Are you CFR-Compliant? Further Update on Regulatory Audits What’s Brewing? FSRA Launches Public Consultation on its Proposed 2023-24 Statement of Priorities OSC’s...
In this bulletin: Discussion Paper Released on Upfront Compensation for Segregated Funds and IVICs: Transition Time Back to the Books: OSC Study Finds Many Investors Overestimate Their Knowledge Amendments to National Instrument 45-106 on the Horizon as the Listed...
In this bulletin: Keeping Fit: OSC’s Investor Advisory Panel Releases Report Don’t Stress Out: We’ll Explain the Expansion of the Self-Certified Investor Prospectus Exemption IIROC Enforcement Report 2021-2022: Trends to Note All Work and No Play: CSA’s 2021-2022...
