Insights
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Bulletin | Polar Vortex Edition | January 2024
While we can’t stop or predict the polar vortex, we can help you navigate any impending dynamic regulatory storm by providing you with timely information on new and proposed amendments that impact your business.
CIRO Approved as a Credentialing Body
The Canadian Investment Regulatory Organization (CIRO) was recently approved by the Financial Services Regulatory Authority of Ontario...
A Tale of Chilled Regulations: CSA Updates Expectations on Advisor Awards
Staff of the Canadian Securities Administrators (the CSA) and the Canadian Investment Regulatory Organization (CIRO) recently published an...
Proposed Changes for Binding Independent Dispute Resolution Service
In late November, the Canadian Securities Administrators (the CSA) published a Request for Comment proposing amendments to certain...
Snow and Settling – CSA Finalizes Changes to Trade Matching Rule
Earlier this month, the Canadian Securities Administrators (CSA) finalized amendments to National Instrument 24-101 Institutional Trade...
CSA Releases Results of Frosty Annual Systemic Risk Survey
The Systemic Risk Committee of the Canadian Securities Administrators recently released results from its second annual systemic risk...
Reminder: Annual Exempt Trade Reports for Investment Fund Issuers – Avoid Frostbite
If you haven’t yet turned your mind to your annual exempt trade reports for investment fund issuers, now is the time. As noted in last...
OSC Releases Draft Statement of Priorities
The Ontario Securities Commission (OSC) has released its annual draft Statement of Priorities for 2024-2025 (SoP). There are no less than...
OSC Report on Artificial Intelligence in Capital Markets
This month, the Ontario Securities Commission (OSC) in collaboration with Ernst & Young LLP published its first report (the Report) on...
Report on OBSI Oversight
On October 12, 2023, the Canadian Securities Administrators (CSA) and the Canadian Investment Regulatory Organization (CIRO) published...
FSRA Seeks Consultation on Proposed Statement of Priorities for FY 2024-2025
On October 10, 2023, the Financial Services Regulatory Authority of Ontario (FSRA) launched a public consultation on its proposed...
Shorter Consultation Periods Proposed
The Ministry of Finance in Ontario (Ministry) released a consultation last month that would impact the time the public is afforded to...
OSC Proposes Amendments to Fee Rules for Non-Compliant Firms and Restricted Dealers
The Ontario Securities Commission (OSC) has proposed amendments to OSC Rule 13-502 Fees and OSC Rule 13-503 (Commodity Futures Act) Fees...
CSA and CIRO Responses on Short Selling Consultation
The Canadian Investment Regulatory Organization (CIRO) and the Canadian Securities Administrators (CSA) recently released Staff Notice...
Reminder: Annual Filing Exempt Trade Reports Deadline Quickly Approaching
It is never too early to think about filing exempt trade reports for investment fund issuers that file on an annual basis. Investment...
AUM Law Spoke at the PMAC AML and ATF Training Session
Don’t change that dial; on November 30 AUM Law’s Chris Tooley participated as a speaker for the third year in a row at the Anti-Money...