Insights
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Bulletin | The Apple Orchard Edition | September 2024
Read some slices from CIRO’s latest reports, the CSA’s proposals for investment fund continuous disclosure, and more.
An Orchestrated Collection of Information – 2024 CSA Investor Index
In late June, the Canadian Securities Administrators (CSA) published the 2024 CSA Investor Index (Index). This is the sixth iteration of...
Understanding New Complaint Handling Regulations in Québec
In Québec, the Regulation respecting complaint processing and dispute resolution in the financial sector (the Regulation) comes into...
FINTRAC: Expectations for Client Monitoring
Reporting entities such as advisers and dealers are required by FINTRAC to monitor clients with whom they have a business relationship on...
FINTRAC Rules for the Mortgage Industry
A friendly reminder to all mortgage administrators, mortgage brokers and mortgage lenders of the upcoming requirement to comply with the...
Reminder: New Derivatives Business Conduct Rule
The new Multilateral Instrument 93-101 Derivatives: Business Conduct (MI 93-101) and its related companion policy come into force shortly...
Reminder: Keeping Capital Markets Participation Fee Filings Attacca
This year, the annual filings for Form 13-502F4 Capital Markets Participation Fee Calculation are due by November 1, 2024. The form must...
CIRO Publishes Major Changes to Investment Dealer Approved Person Proficiencies
On July 4, 2024, the Canadian Investment Regulatory Organization (CIRO) published for comment Rule Amendments which include significant...
OSC’s Annual Summary Report for Dealers, Advisers and Investment Fund Managers
The Registration, Inspections and Examinations Division of the Ontario Securities Commission (OSC) released its highly anticipated OSC...
CSA’s Cool Recap of the Year in Review
Earlier this month, the Canadian Securities Administrators (CSA) released the 2023-2024 Year in Review, which among other things discusses...
CIRO’s Serving up Proposals for Proficiency
Earlier this month, the Canadian Investment Regulatory Organization (CIRO) released for comment proposed amendments to its proficiency...
ASC’s 2024 Annual Report Scoop
In its recently released annual report, the Alberta Securities Commission (ASC) discusses the completion of the first fiscal year under...
The Assorted Flavours of CIRO’s 2024 Priorities
The Canadian Investment Regulatory Organization (CIRO) recently released a bulletin setting out its priority report, describing CIRO’s...
Exemptions from Derivatives Business Conduct Rule
On July 25, the Canadian Securities Administrators (CSA) announced specific temporary exemptions from various obligations in National...
CIRO Enforcement Report
In the most recent 2023-2024 Enforcement Report, the Canadian Investment Regulatory Organization (CIRO) describes recent changes to...
Important Reminder: FINTRAC’s New Suspicious Transaction Reporting Requirements
As all registrants know, reporting entities including advisers and dealers are required to report suspicious transactions for money...