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 | 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.
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...
Important Reminder: Total Cost Reporting
Many registrants received a reminder earlier this month from the securities regulatory authorities that the enhanced cost disclosure...
New Time-Limited Expansion of Permitted EMD Activities
On June 20, 2024, Canadian securities regulators from Ontario, Québec, British Columbia, Saskatchewan, Alberta and Nova Scotia announced...
Consultation on Total Cost Reporting for Segregated Funds
On May 27, 2024, the Financial Services Regulatory Authority of Ontario (FSRA) launched a public consultation on its new proposed rules...
2023 Annual Report of OSC’s Investor Advisory Panel: Staying Safe
Earlier this month, the Ontario Securities Commission’s Investor Advisory Panel (the Panel) released its annual report. The Panel is an...
CIRO Releases Results of First Investor Survey
Early this month, the Office of the Investor at the Canadian Investment Regulatory Organization (CIRO) released the results of its first...
Important Reminder: Rules of the Road: OM Update Requirements
As you may recall reading in our earlier bulletin articles, amendments to National Instrument 45-106 Prospectus Exemptions (NI 45-106)...
OSC Releases Hot Strategic Plan for 2024-2030
Earlier this month, the Ontario Securities Commission (OSC) released its 6-year strategic plan. The plan sets out the OSC’s new mandate,...