Insights
We strive to make our publications timely, useful, and digestible for the executive managers in the asset management industry. We take pride in a good pun or apt music reference.
The articles on our website aren’t intended as a complete statement of the law or an opinion any matter. Please read our Privacy Policy to learn more.
Bulletin | Wimbledon Edition | June 2022
In this bulletin edition, we discuss some tips relating to the conflicts of interest requirements, amendments to other activity reporting for registrants, the CSA’s new business plan, additional derivatives proposals and much more below.
MFDA and IIROC Publish Proposed CFR Rules
The Mutual Fund Dealers Association of Canada (MFDA) and the Investment Industry Regulatory Organization of Canada (IIROC) have both...
Activist Short Selling
On December 3, the Canadian Securities Administrators (CSA) published Consultation Paper 25-403 Activist Short Selling “to facilitate...
OSC Publishes Final Amendments Regarding Syndicated Mortgages
On December 7, the Ontario Securities Commission (OSC) released the final amendments to OSC Rule 45-501 Ontario Prospectus and...
FAIR Funding
In some welcome news for investor advocates, the OSC recently announced that it will provide $3.75 million to FAIR Canada (FAIR), a...
Tipster Trio Shares OSC Whistleblower Payout
On November 17, the Ontario Securities Commission (OSC) announced that it has awarded a total of $585,000 to three whistleblowers, each of...
OSC to Leave Fees Alone for Now
On November 12, the Ontario Securities Commission (OSC) published OSC Notice 13-708 whereby it informed market participants that after...
OSC Research Study Offers Suggestions to Help Investment Industry Get Trusted Contact Person Information from Clients
Earlier this year, the Canadian Securities Administrators proposed amendments that will require registrants to take reasonable steps to...
OSC Proposes Elimination of Routine Exemptive Relief Applications for International Firms
Welcome news for International Firms! Currently, certain international firms doing business in Ontario in reliance on statutory...
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...