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Bulletin | FIFA World Cup Edition | November 2022
This month to help end the year with on a winning note, please read the final articles of this year from the AUM team. We wish all our readers happy holidays, along with an excellent World Cup experience!
Important Reminders: Capital Markets Participation Fee is Due to be Filed Calculation
Form 13-502F4 – Capital Markets Participation Fee Calculation is due to be filed with the OSC no later than December 1, 2021. This...
FCAC Consults on New Complaint-Handling Procedures for Banks
The Financial Consumer Agency of Canada (FCAC) has released a proposed Guideline on Complaint-Handling Procedures for and Authorized...
FSRA’s Draft Innovation Framework
The Financial Services Regulatory Authority of Ontario released a consultation paper regarding its new Innovation Office, which was...
FCNB/NSSC Consultation on Diversity in the Capital Markets
The Nova Scotia Securities Commission (NSSC) and the New Brunswick Financial and Consumer Services Commission (FCNB) have issued a short...
Proposed Amendments to Derivatives Clearing Rules
We wanted to note for those that follow changes to the derivatives reporting rules that the CSA (other than the OSC) has released a notice...
Ontario’s New Draft Capital Markets Act
For those looking for some new reading material, a Capital Markets Act (the “Act”) draft has been released by the Ontario Ministry of...
CSA Proposes Mandatory Climate Change Disclosure
The CSA released a consultation paper on October 18, proposing a new National Instrument NI 51-107 Disclosure of Climate-related Matters...
FSRA Publishes 2022-2023 Statement of Priorities for Comment
On October 7, 2021, the Financial Services Regulatory Authority of Ontario (FSRA) published for comment its proposed 2022-2023 Statement...
Investment Fund Burden Reduction Measures – Not a trick!
On October 7 the Canadian Securities Administrators (CSA) published amendments (the Amendments) to implement eight initiatives to reduce...
OSC Publishes its 2021 Annual Report – What you Need to Know
On September 2, 2021, the Ontario Securities Commission (OSC) published its 2021 Annual Report - Promoting Confidence, Fostering...
IIROC Releases Draft Competency Profiles for Directors, Executives, UDPs, CCOs and CFOs
On August 31, the Investment Industry Regulatory Organization of Canada (IIROC) released another consultation paper with respect to draft...
Québec Consults on the Complaint Handling Process
On September 9, the Autorité des marchés financiers (AMF) released a draft regulation relating to the processing of complaints in the...
CPAB Consults on its Disclosure of Audit Firm Reviews
The Canadian Public Accountability Board (CPAB) is seeking comments on potential changes to the type of information it discloses about the...
A Trusted Contact Person and a POA
On July 15, 2021, the Canadian Securities Administrators released Notice of Amendments to National Instrument 31-103 Registration...
Canadian Securities Regulators Announce Launch of Refreshed Website
On September 13, 2021, the Canadian Securities Administrators (CSA) announced the launch of its newly refreshed website as part of its...