Tag: business continuity plans

Bulletin | Paws & Reflection Edition | August 2023

Aug 31, 2023 | Featured

In this bulletin: In the Dog House – Misleading Communications and Advisor Ranking Contests Summer Supervision: FSRA’s Plan for Credentialing Bodies Like a Cloudless August Sky, Ministry of Finance Quietly Proposes New Authorized Purposes for Enforcement Money...

Bulletin | Anti-Boredom Edition | July 2023

Jul 31, 2023 | Featured

In this bulletin:  A Visit from Old Friends – OSC Releases Annual Summary Report for Dealers, Advisers and Investment Fund Managers  Learning Something New – CIRO’s Proposed New Proficiency Model A Trip Around Alberta – ASC Releases 2023 Annual Report Never a Dull...

OSC Releases Annual Summary Report for Dealers, Advisers and IFM

Jul 31, 2023 | Canadian Investment Regulatory Organization (CIRO), Client-Focused Reforms (CFRs), Cyber-security and Data Privacy, Investment Funds, Mortgage and Real Estate Investment Vehicles, Regulatory Compliance

On July 27, 2023, the Ontario Securities Commission (OSC) released its annual report outlining the work staff conducted in 2022/23 (to date). The report has four parts, outlining the OSC’s (i) education and outreach to registrants; (ii) regulatory oversight activities...

Bulletin | Autumn Edition | September 2021

Sep 30, 2021 | Featured

In this bulletin: OSC Publishes its 2021 Annual Report – What you Need to Know IIROC Releases Draft Competency Profiles for Directors, Executives, UDPs, CCOs and CFOs Québec Consults on the Complaint Handling Process CPAB Consults on its Disclosure of Audit Firm...

Bulletin | Heatwave Edition | August 2021

Aug 31, 2021 | Featured

In this bulletin: OSC Finalizes 2021-2022 Statement of Priorities OSC’s CRR Branch Publishes its Annual Report on Registrants CSA Announces Plans to Create a New Self-Regulatory Organization Policies and Procedures Change Required – CSA Finalizes Rules...