Insights
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Bulletin | March Break Edition | March 2023
March Break may have just passed, but it is still important to periodically take time to relax, reflect and recharge.
My Name Is: Some Slim News on Not-so Shady Titles
As reported in our November 2021 Bulletin, the CSA’s rules on titles for registered individuals who interact with clients changed...
Changes to the Outside Business Activities (OBAs) Framework
On December 16, 2021, the Canadian Securities Administrators (the CSA) announced that amendments to legislation clarifying the “Outside...
CSA Publishes Amendments to the Rules on Oversight of Foreign Audit Firms Performing Audits of Canadian Public Issuers
On January 13, 2022, the Canadian Securities Administrators (the CSA) published CSA Notice of Publication – Amendments to National...
CSA Releases New Guidance for Funds on ESG-Related Disclosure
On January 19, 2022, the Canadian Securities Administrators (the CSA) released Staff Notice 81-334 ESG-Related Investment Fund Disclosure,...
Nothing to Complain About – Regulators Propose Additional Amendments Regarding Complaint-Handling Procedures
Regulators continue to review best practices relating to complaint-handling procedures. On January 13, the Investment Industry Regulatory...
Blowing the Whistle – FCAC Consults on Proposed Whistleblower Guidelines
While not directly impacting all registrants, it is interesting to note that the Financial Consumer Agency of Canada (the FCAC) is...
CSA’s Proposed Investor Advisory Panel
The CSA released Staff Notice and Request for Comment 11-343 Proposal to Establish a CSA Investor Advisory Panel, to obtain the views of...
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...