Category: Regulatory Compliance
Oct 29, 2021 | Investment Funds, Regulatory Compliance
On October 7 the Canadian Securities Administrators (CSA) published amendments (the Amendments) to implement eight initiatives to reduce the regulatory burden for investment funds. Generally, the changes eliminate duplicative requirements, streamline regulatory...
Sep 30, 2021 | Client-Focused Reforms (CFRs), Investment Funds, Regulatory Compliance
On September 2, 2021, the Ontario Securities Commission (OSC) published its 2021 Annual Report – Promoting Confidence, Fostering Innovation (Report), along with its financial statements for the year ended March 31, 2021 and the accompanying MD&A. The Report...
Sep 30, 2021 | Investment Funds, Regulatory Compliance
On August 31, the Investment Industry Regulatory Organization of Canada (IIROC) released another consultation paper with respect to draft competency profiles for its registration categories which is the second phase of a multi-year project. IIROC estimates that they...
Sep 30, 2021 | Investment Funds, Regulatory Compliance
On September 9, the Autorité des marchés financiers (AMF) released a draft regulation relating to the processing of complaints in the financial sector in Québec. It is intended to create a common set of rules and practices for the fair processing of complaints, and...
Sep 30, 2021 | Corporate Finance, Regulatory Compliance
The Canadian Public Accountability Board (CPAB) is seeking comments on potential changes to the type of information it discloses about the results of its assessments of accountants that audit Canadian reporting issuers. Currently, the rules governing CPAB restrict the...
Sep 30, 2021 | Regulatory Compliance
On July 15, 2021, the Canadian Securities Administrators released Notice of Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (NI 31-103) which contains the final amendments (the Amendments) to NI 31-103...
Sep 30, 2021 | Client-Focused Reforms (CFRs), Regulatory Compliance
On September 13, 2021, the Canadian Securities Administrators (CSA) announced the launch of its newly refreshed website as part of its continued efforts to streamline and enhance the information and resources available to market participants. The website is intended...
Sep 30, 2021 | Regulatory Compliance
We would like to remind our clients of a few items to consider with respect to their NRD filing obligations, so that filings are made (and approved) as quickly as possible. When filing a new individual registration on Form 33-109F4 – Registration of Individuals and...
Sep 30, 2021 | Regulatory Compliance
Please note that there have been some small amendments to the CSA Guide to Suppression of Terrorism and Canadian Sanctions Reporting (STCS) applicable to registered firms, exempt dealers and exempt advisers. The STCS has been amended to reflect the fact that as of...
Sep 30, 2021 | Corporate Finance, Mortgage and Real Estate Investment Vehicles, Regulatory Compliance
On August 18, the Financial Services Regulatory Authority of Ontario (FSRA) released a consultation paper on its draft interpretation relating to a license exemption for mortgage transactions between sophisticated entities. The draft provides FSRA’s interpretation of...
Sep 30, 2021 | Events, News, Regulatory Compliance
AUM Law is a proud sponsor of the Fall Regulatory and Compliance Webcast organized by the Portfolio Management Association of Canada (PMAC) on October 21. Click here to register for the event. AUM Law’s very own Richard Roskies will participate as a speaker to discuss...
Aug 31, 2021 | Investment Funds, Mortgage and Real Estate Investment Vehicles, Regulatory Compliance
The Financial Services Regulatory Authority of Ontario (FSRA) has released a proposed approach guidance, outlining its intentions with respect to how and when it will publish information about enforcement proceedings and investigations in the sectors it regulates,...
Aug 31, 2021 | Corporate Finance, Investment Funds, Regulatory Compliance
On July 28, 2021, the Canadian Securities Administrators (CSA) announced a proposed new prospectus exemption for issuers listed on a Canadian stock exchange. The proposal is in response to comments received from CSA Consultation Paper 51-404 Considerations for...
Aug 31, 2021 | Corporate Finance, Investment Funds, Regulatory Compliance
On August 12, the Canadian Securities Administrators (CSA) released proposed amendments to the Companion Policy to National Instrument 41-101 General Prospectus Requirements that provides an interpretation of the financial statements that are required to be included...
Aug 31, 2021 | Corporate Finance, Investment Funds, Regulatory Compliance
The Canadian Derivatives Clearing Corporation (CDCC) has proposed amendments to its Rules, Operations Manual, Risk Manual and Default Manual to introduce the Gross Client Margin Model (GCM). The changes being proposed by the CDCC are intended to align with...
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