Category: Featured

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...

Bulletin | Summer – We’re Halfway There! Edition | June 2021

Jun 30, 2021 | Featured

In this bulletin: Giving the Green Light to ESG Disclosure – CFA Institute Publishes Draft ESG Disclosure Standards for Investment Products Social Media and Market Manipulation MFDA’s Initiative on Improving Client Account Transfers – Will CSA Follow Suit? Outside...

Bulletin | To the Future and Beyond Edition | May 2021

May 31, 2021 | Featured

In this bulletin: BLG Transaction – New Beginnings All Together Now – OSC Joins DSC Ban Titles, Titles and More Titles – Notice of Changes and Request for Further Comment on Financial Professionals Title Protection Rule Important Reminders: CFR Requirements...

BLG acquires AUM Law, shifting the legal landscape in Canada

May 6, 2021 | Featured, News

Deal Provides Investment Industry with Flexible, Innovative Approach to Manage Risk Toronto, ON – May 6, 2021 – AUM Law today announced the acquisition of our firm by Borden Ladner Gervais LLP (BLG). The transaction combines BLG’s deep expertise and long-standing...

Bulletin | Hello Spring Edition | April 2021

Apr 30, 2021 | Featured

In this bulletin: Updates on Amendments re Syndicated Mortgages FINTRAC Publishes Guidance on Politically Exposed Persons and Heads of International Organizations ASC Notice and Request for Comment re Blanket Order 31-536 Alberta Small Business Finder’s Exemption CSA...

MIC – Mortgage Investment Corporations in a Nutshell

Apr 23, 2021 | Featured, Nutshell Series

Industry participants are re-thinking their business operations as a result of mortgage lenders no longer being able to operate outside of a securities law regime as of March 1, 2021. Many lenders that previously qualified investors on a deal by deal basis in order to...

Proposed Amendments on Registration Information Requirements in a Nutshell

Mar 31, 2021 | Featured, Nutshell Series

On February 4, 2021, the Canadian Securities Administrators (CSA) published for comment Proposed Amendments to NI 33-109 and Related Instruments – Modernizing Registration Information Requirements, Clarifying Outside Activity Reporting & Updating Filing Deadlines...

Bulletin | Winter’s End Edition | February 2021

Feb 26, 2021 | Featured

In this bulletin: Interview with Richard Roskies regarding Client Focused Reforms and Know-Your-Product Provisions Outside Activities 2.0: Potential Burden Reduction Comes to Reporting of Registrant Information FAQ Corner: Activities 2.0: Potential Burden Reduction...

Bulletin | New Year Edition | January 2021

Jan 29, 2021 | Featured

In this bulletin: Ontario’s Capital Markets Modernization Taskforce Releases Final Report CSA Publishes More FAQ Guidance on the Client-Focused Reforms FINTRAC Updates its Guidance on Conducting AML Risk Assessments  Reviewing Fund Custodian Arrangements FAQ Corner:...

Bulletin | 2020 Year-End Edition | December 2020

Dec 11, 2020 | Featured

In this bulletin: Regulatory Highlights from 2020 OSC Publishes Corporate Finance Branch Report Reminder! Investment Funds Have till January 30 to File Reports of Exempt Distribution OSC Seeks Comment on Proposed Priorities for 2021-22 MFDA and IIROC Publish Proposed...