Jul 31, 2024 | Investment Funds, Regulatory Compliance
On July 25, the Canadian Securities Administrators (CSA) announced specific temporary exemptions from various obligations in National Instrument 93-101 Derivatives: Business Conduct (NI 93-101) which comes into force on September 28, 2024. As a reminder, the new rule...
Sep 30, 2020 | Investment Funds, News, Regulatory Compliance
On September 14, staff of the Compliance and Registrant Regulation (CRR) Branch at the Ontario Securities Commission (OSC) published their Annual Summary Report for Dealers, Advisers and Investment Fund Managers (Report). The OSC encourages registrants to use the...
