Category: Featured

Bulletin | FIFA World Cup Edition | November 2022

Nov 30, 2022 | Featured

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...

Bulletin | A Pumpkin a Day Keeps the Goblins Away Edition | October 2022

Oct 31, 2022 | Featured

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...

Bulletin | Seasonal (Regulatory) Change Edition | September 2022

Sep 27, 2022 | Featured

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...

Bulletin | Wellness Edition | Summer 2022

Aug 17, 2022 | Featured

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...

BLG and AUM Law Expand Investment Management Expertise

Aug 8, 2022 | Featured

Bill Donegan joins AUM Law as senior compliance consultant Toronto (August 8, 2022) – AUM Law and Borden Ladner Gervais LLP (BLG) are delighted to welcome Bill Donegan to AUM Law as senior compliance consultant. Bill Donegan is a seasoned lawyer and senior...

Bulletin | Wimbledon Edition | June 2022

Jun 30, 2022 | Featured

In this bulletin: Conflicts of Interest Rally – Audit Sweep Update Summer is Here! And So Are the Amendments to NI 31-109 and NI 33-103 New Proposed Climate Risk Management Guideline: Will OSFI’s Next Step Be an Ace? In Brief: CSA Has a Game Plan – 2022-2025 CSA...

Bulletin | Star Wars Edition | May 2022

May 31, 2022 | Featured

In this bulletin:  Shining a Spotlight on Fees – Total Cost Reporting is Here  Kicking Off a New Regime – Application for Recognition of New Self-Regulatory Organization  Investor Protection Funds in the Limelight – Application for Approval of the New...

Bulletin | Get Ready for Warmer Weather Edition | April 2022

Apr 29, 2022 | Featured

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...

Bulletin | Daylight Saving Time Debate Edition | March 2022

Mar 31, 2022 | Featured

In this bulletin: A Matter of Time: FSRA Consultation on Licensing Requirements for Mortgage Agents and Brokers FSRA Releases New Approach Guidance for Principles – Based Regulation at All Times Make Time for IIROC’s Compliance Priorities Report A Devil of a Time:...

Bulletin | Hello February! Why So Short? Edition | February 2022

Feb 28, 2022 | Featured

In this bulletin: Everything’s Derivative: Canadian Securities Regulators Adopt Amendments to Derivatives Clearing Rules Now You See Me: New Ownership Transparency Requirements for Private Ontario Corporations Not Just a Status Update: New AML Requirements Applicable...

Bulletin | Snowy January Edition | January 2022

Jan 31, 2022 | Featured

In this bulletin: Getting More for Less – OSC Proposes Amendments to Fee Rule Third Time Lucky? The Latest on the CSA’s Derivatives Business Conduct Rule The CSA Proposes Modernizing Prospectus Filings for Investment Funds Wrapped, Tied and Tangled – OSC...

Bulletin | Winter is Here Edition | November 2021

Nov 30, 2021 | Client-Focused Reforms (CFRs), Featured, Investment Funds, Regulatory Compliance

In this bulletin: Ontario’s New Draft Capital Markets Act – Topics of Interest to Registrants Déjà vu – Titles, Titles and More Titles – Proposed Amendments to Draft FSRA Guidance In Brief: FSRA Consults on Consumer Advisory Panel ▪ Independent Evaluation of OBSI ▪...

Bulletin | Halloween Edition | October 2021

Oct 29, 2021 | Featured

In this bulletin: Investment Fund Burden Reduction Measures – Not a Trick! FSRA Publishes 2022-2023 Statement of Priorities for Comment CSA Proposes Mandatory Climate Change Disclosure In Brief: Ontario’s New Draft Capital Markets Act ▪ Proposed Amendments to...

Bulletin | Autumn Edition | September 2021

Sep 30, 2021 | Featured

In this bulletin: OSC Publishes its 2021 Annual Report – What you Need to Know IIROC Releases Draft Competency Profiles for Directors, Executives, UDPs, CCOs and CFOs Québec Consults on the Complaint Handling Process CPAB Consults on its Disclosure of Audit Firm...

Bulletin | Heatwave Edition | August 2021

Aug 31, 2021 | Featured

In this bulletin: OSC Finalizes 2021-2022 Statement of Priorities OSC’s CRR Branch Publishes its Annual Report on Registrants CSA Announces Plans to Create a New Self-Regulatory Organization Policies and Procedures Change Required – CSA Finalizes Rules...