Insights
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Bulletin | Sweet Dreams Edition | March 2024
Just as the right amount and quality of sleep impacts your overall health, we hope these summaries help with your sense of regulatory compliance well-being.
Additional FINTRAC Sanctions to Action
On February 24, 2024, the Ministerial Directive on Financial Transactions Associated with Russia (the Directive) took effect. The...
CSSB Proposed Disclosures for Night Owls
On March 13, the Canadian Sustainability Standards Board (CSSB) released Canadian Sustainability Disclosure Standards (CSDS) for public...
Requirements re WFH for Registrants
Back in the early (and dark) days of the pandemic, we published our April 2020 Bulletin Working From Home Edition. We followed that up...
Important Reminder: Filing Registrant Financial Statements by April 1 to Rest Assured
A friendly reminder to registrants of the requirement under Part 12 of National Instrument 31-103 Registration Requirements, Exemptions...
Important Reminder: Follow Up re SEDAR+ Profile Updates
In our February bulletin, we wrote about the importance of updating your SEDAR+ profile if the information contained in the profile is...
AUM – Policies and Procedures
In a busy dealer compliance department, it is always difficult to find time to update and maintain dealer policies and procedures,...
AUM – Registrations
Securities registrations can be complex and time consuming, especially if experienced staff are not available to manage the process....
OSC Releases Digital Engagement Report – Finding Stability Amidst Change
In its latest draft Statement of Priorities, the Ontario Securities Commission (OSC) indicated some concerns with advice being provided by...
Updating and Maintaining SEDAR+ Profiles
The System for Electronic Document Analysis and Retrieval (SEDAR+), is the web-based system that is now used to file, disclose, and search...
CIRO Leaps Forward with New Proposed Borrowing Rules
In mid-February, the Canadian Investment Regulatory Organization (CIRO) released proposed amendments to the Investment Dealer and...
Keeping Pace in 2024: CIRO’s Ransomware Response Playbook
Regulators are often warning firms about the importance of cyber security readiness and the obligations of registrants to ensure that that...
CSA Systemic Risk Report: Exploring Rare Occurrences
The Systemic Risk Committee (SRC) of the Canadian Securities Administrators (CSA) allows staff to review and monitor systemic and emerging...
Offering Memoranda Compliance – Turning the Page
One way to spend your time during February’s extra day is considering whether your offering memoranda continue to comply with regulatory...
AUM – Two-Year AML/ATF Effectiveness Review
Securities dealers are subject to Canada’s anti-money laundering (AML) and anti-terrorist financing (ATF) laws. Dealers must identify...
AUM – Training
CIRO member dealers are required to provide ongoing training to their Approved Persons concerning securities regulatory requirements,...