Insights
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Bulletin | Hello February! Why So Short? Edition | February 2022
This month we report on updates from the CSA regarding derivative rules, new ownership transparency requirements, proposed new incentive management guidance and even more, here
Government Introduces Bill Proposing Significant Changes to Federal Privacy Legislation
The Government of Canada has big plans for privacy protection in Canada. It has proposed the Digital Charter Implementation Act, which is...
Two Western Provinces Consult on Innovative Prospectus Exemption
The Alberta Securities Commission and the Financial and Consumer Affairs Authority of Saskatchewan are proposing an interesting new...
OSC Seeks Comment on Proposed Priorities for 2021-22
On November 16, the Ontario Securities Commission (OSC) published OSC Notice 11-791 Statement of Priorities seeking comment on its draft...
Reminder! Investment Funds Have a January 30 Deadline to File Reports of Exempt Distribution
With the New Year just around the corner, investment funds that take advantage of the option in National Instrument 45-106 – Prospectus...
OSC Publishes Corporate Finance Branch Report
On November 19, the Corporate Finance Branch (CFB) of the Ontario Securities Commission (OSC) published Staff Notice 51-731 Corporate...
Regulatory Highlights from 2020
How do you summarize a year like no other in history? Well, the shift to a remote work environment didn’t do much to slow our regulators...
Reminder: OSC Participation Fee Calculation and Payment
It’s time for Ontario-registered firms, unregistered exempt international dealer/adviser firms, and unregistered investment fund managers...
Ontario Proposes Changes to Business Corporations Act
On October 6, the Government of Ontario introduced Bill 213 Better for People, Smarter for Business Act, 2020 (the Bill). If enacted as...
FSRA Publishes 2021-22 Statement of Priorities for Comment
On October 13, the Financial Services Regulatory Authority of Ontario (FSRA) published for comment its proposed 2021-22 Statement of...
Kik Back in the News after Settling U.S. Enforcement Proceedings Regarding Its Token Offering
Readers might recall that in August 2019, we reported that the U.S. Securities and Exchange Commission (SEC) was taking enforcement action...
CSA Provides Guidance to Issuers on Reporting COVID-19 Impact
On October 29, the Canadian Securities Administrators (CSA) published their biennial report (Report) on staff reviews of reporting...
OSC and IIROC Looking for Hot Tips on Abusive Trading
On October 1, the Ontario Securities Commission (OSC) and Investment Industry Regulatory Organization of Canada (IIROC) published joint...
FSB Finalizes Its Cyber Incident Recovery and Response Toolkit
In April, we wrote that the Financial Stability Board (FSB) was seeking comment on 46 recommended cyber incident response and recovery...
PMAC Annual Conference November 17 – See You (Virtually) There!
AUM Law is proud to sponsor the Portfolio Management Association of Canada’s National Conference, Hindsight is 2020: The Year in Review...
Get Your Copy of AUM Law’s Updated Guide to the Client-Focused Reforms
In October 2019, the Canadian Securities Administrators (CSA) finalized their client-focused reforms to National Instrument 31-103...