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Bulletin | Winter is Here Edition | November 2021
While some of us were surprised by all the snow in Ontario at the end of November, it was just another reminder that the holidays and the new year are just around the corner! Time to kick your feet up, relax and get cozy with our last bulletin of 2021. We hope you find it helpful, and we wish all of our subscribers a happy new year!
Bulletin | Winter is Here Edition | November 2021
In this bulletin: Ontario’s New Draft Capital Markets Act – Topics of Interest to Registrants Déjà vu – Titles, Titles and More Titles –...
Ontario’s New Draft Capital Markets Act – Topics of Interest to Registrants
In the previous issue of our bulletin, we provided a high level report on the new draft Capital Markets Act (Act) released by the Ontario...
Déjà vu – Titles, Titles and More Titles – Proposed Amendments to Draft FSRA Guidance
The Financial Services Regulatory Authority of Ontario (FSRA) has released additional proposed changes to its draft Financial...
FSRA Consults on Consumer Advisory Panel
The Financial Services Regulatory Authority of Ontario’s (FSRA’s) Consumer Advisory Panel provides input to FSRA on its regulatory...
Independent Evaluation of OBSI
Professor Poonam Puri has been appointed by the board of The Ombudsman for Banking Services and Investments (OBSI) to undertake an...
Canadian Companies Appointing More Women to Boards and Executive Roles
On November 4, 2021, the Canadian Securities Administrators (CSA) published CSA Multilateral Staff Notice 58-313, its seventh annual...
CFA Institute Creates Voluntary ESG Disclosure Standards for Investment Products
On November 1, 2021, CFA Institute issued its Global Environmental, Social and Governance (ESG) Disclosure Standards for Investment...
Timeline for the New Self-Regulatory Framework
On November 18, 2021 the Canadian Securities Administrators (CSA) issued a news release announcing progress on the creation of a new...
OSC Releases Proposed Statement of Priorities
On November 18, the Ontario Securities Commission (OSC) published OSC Notice 11-794 Statement of Priorities seeking comment on its draft...
Pre-Registration Activities and Titles – Watch Those Names
We assist many businesses that are obtaining registration as an exempt market dealer, adviser and/or investment fund manager for the first...
Check Your Titles Prior to Dec 31, 2021
As previously mentioned in our bulletins, as part of the client-focused reforms to National Instrument 31-103 Registration Requirements,...
Capital Markets Participation Fee – December 1 Filing Deadline
As we noted in last month’s bulletin, Form 13-502F4 – Capital Markets Participation Fee Calculation is due to be filed with the OSC by...
Exempt Trade Reports for Funds Due in January – Don’t Delay; Prepare to File Today
National Instrument 45-106 – Prospectus Exemptions (NI 45-106) exempts certain distributions of securities from the prospectus...
BLG’s Resource Corner
Our colleagues at BLG have written a number of articles we thought might interest our readers, including the following: Mandatory Climate...
BLG Webinar November
On November 18, Richard Roskies will be speaking alongside BLG lawyers at the BLG’s Investment Management webinar, for which you will have...