Insights
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Bulletin | Month of Change Edition | September 2023
September is often thought of as a month of change – new season, new school year, new café menu featuring everything pumpkin spiced.
Not a Fee Holiday – FSRA Consults on Fee Rule Once Again
The Financial Services Regulatory Authority of Ontario (FSRA) is proposing further amendments to Proposed Rule 2022–001 – Assessments and...
An Extra Long Weekend – SEDAR+ Filing Extensions Granted
The Canadian Securities Administrators (CSA) members are providing exemptions from a number of filing requirements which are connected to...
OSC Investor Advisor Panel Report Focuses on Citizen (AKA Investor) Protection
On May 30, 2023, the Ontario Securities Commission’s Investor Advisory Panel (IAP) released its report with respect to its activities in...
Ensuring Your Audits are Regal – FSRA Releases Proposed Guidance for Mortgage Administrators
The Financial Services Regulatory Authority of Ontario (FSRA) has released proposed guidance that speaks to its expectations for mortgage...
Reminder: Training Opportunities – Avoid the Fireworks!
As we approach the end of the second quarter, it is a good time for registered firms to reflect on whether they have completed appropriate...
Reminder: Long Live SEDAR+ Onboarding
As last mentioned in both our February 2023 and March 2023 bulletins, SEDAR+ is expected to launch on June 13, 2023. While the deadline...
Better Days Ahead: Proposed Amendments Regarding Diversity Disclosure
Do you think more information is needed about diversity on boards and in the C-suite? Canadian regulators do. But they can’t decide how...
AMPed for Spring: FSRA Proposes Guidance on Administrative Monetary Penalties
On March 27, 2023, the Financial Services Regulatory Authority of Ontario (FSRA) released draft guidance (the Draft Guidance) for public...
FSRA Proposes Guidance to Cut Down Mortgage Fraud
On March 28, 2023, the Financial Services Regulatory Authority of Ontario (FSRA) released updated draft interpretation guidance (the Draft...
Three more Sakura Seasons, then Total Cost Reporting will be Required for the Year Ending December 31, 2026
On April 20, 2023, the securities and insurance regulators announced final changes to total cost reporting (TCR) disclosure for investment...
The OSC’s Egg-cellent Final Statement of Priorities
On an annual basis, the Ontario Securities Commission (OSC) delivers a multi-year business plan addressed to the Minister of Finance,...
New SRO Blossoms With Its New Name
As of January 1, 2023, the Mutual Fund Dealers Association of Canada (MFDA) and the Investment Industry Regulatory Organization of Canada...
Busy Bees: FSRA Consumer Advisory Panel Annual Report
The Financial Services Regulatory Authority of Ontario (FSRA) receives advice from a consumer perspective from the Consumer Advisory Panel...
Sunny CSA Report on SRO Oversight
The CSA released the annual report (Report) summarizing its key activities in 2022 with respect to its oversight of what was then known as...
Time Flies: New SRO Proposes Amendments for T+1 Settlement
The New Self-Regulatory Organization of Canada (New SRO) has proposed amendments to the Universal Market Integrity Rules (UMIR) and the...