Jun 27, 2024 | Investment Funds, Regulatory Compliance
On June 20, 2024, Canadian securities regulators from Ontario, Québec, British Columbia, Saskatchewan, Alberta and Nova Scotia announced an initiative to support capital-raising by early-stage businesses by allowing exempt market dealers (EMDs) to participate as...
Aug 31, 2021 | Regulatory Compliance
On June 29, 2021 the Ontario Securities Commission (OSC) published its 2021-2022 Statement of Priorities (the Statement of Priorities) for the financial year ending March 31, 2022. The OSC received 16 comment letters on its draft Statement of Priorities which was...
Jun 30, 2021 | Investment Funds, News, Regulatory Compliance
As a follow-up to our article, All Together Now – OSC Joins DSC Ban, in the May 2021 AUM Law Bulletin, we can report that on June 23 the Canadian Securities Administrators (CSA) issued CSA Notice 31-360 Blanket Orders/Class Orders in respect of Transitional...
May 31, 2021 | Investment Funds, News, Regulatory Compliance
On May 7 the Ontario Securities Commission (OSC) announced that it will join in on the ban on deferred sales charge (DSC) sales of mutual funds, which the rest of the Canadian Securities Administrators (CSA) announced in February 2020. The ban is expected to be...
