Insights
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Bulletin | Buttoned-Up Edition | November 2024
To prevent chilly regulatory oversights, please button up and review the updates in our latest bulletin.
OSC’s Draft Statement of Priorities – Staying Secure
The Ontario Securities Commission (OSC) has released OSC Notice 11-799 – Statement of Priorities: Request for Comments Regarding Statement...
Summary Report for Investment Fund and Structured Product Issuers
On November 5, the Ontario Securities Commission (OSC) released OSC Staff Notice 81-736 Summary Report for Investment Fund and Structured...
Proposal to Modernize the CIRO Arbitration Program
The Canadian Investment Regulatory Organization (CIRO) is proposing reforms to its Arbitration Program. The Investment Industry Regulatory...
Navigating the Proposed SEDAR+ System Fee Increases Without Falling Apart
The Canadian Securities Administrators (CSA) except for the British Columbia Securities Commission (pending governmental approval...
Delegation of Certain Registration Functions to CIRO
The Canadian Securities Administrators (CSA) announced on November 20 that as part of an effort to create efficiencies and reduce...
Summary of CIRO Exemptions Granted
Earlier this month, the Canadian Investment Regulatory Organization (CIRO) released its summary of rule exemptions granted by CIRO in...
Important Reminder: Deadline to File Reports of Exempt Distribution with Precision
Investment funds that utilize the option in National Instrument 45-106 – Prospectus Exemptions (NI 45-106) to file Reports of Exempt...
Important Reminder: Guidance Regarding Disruption of Mail Services
At the time of this publication, there is an ongoing postal strike across Canada. Various regulators have issued statements or other...
From Concepts to Compliance: OSC Consults on Long-Term Asset Funds
The Ontario Securities Commission (OSC) has released an interesting discussion paper with respect to a potential new type of public...
CIRO Releases Phase 4 of the Rule Consolidation Project
On October 17, 2024, the Canadian Investment Regulatory Organization (CIRO) published for comment Phase 4 of its Rule Consolidation...
OSC Examines AI-Enhanced Scams: Investing Smartly
Last month, the Ontario Securities Commission (OSC) released a report on research performed in conjunction with the Behavioral Insights...
Building Up CIRO’s Proficiency Proposals
Earlier this month, CIRO released an Amendment regarding individual Approved Person proficiencies. The purpose of the amendment is to...
What Every Investor Should Know: CIRO’s Enhanced Cost Reporting
On October 10, 2024, CIRO released Enhanced Cost Reporting – Proposed Rule Amendments. These amendments seek to harmonize CIRO member...
Disgorged Funds as Part of an Investor’s Toolkit
For a second time, CIRO recently released for comment its proposal regarding Distributing Funds Disgorged and Collected...
Staying Ahead of OSC Staff’s Approach to Sustainable Finance
Earlier this month, the OSC released a report entitled Insights on the OSC Staff’s Approach to Sustainable Finance (the Report). Under the...