Tag: crypto
Jul 31, 2024 | Featured
In this bulletin: OSC’s Annual Summary Report for Dealers, Advisers and Investment Fund Managers: A Layered Regulatory Sundae CSA’s Cool Recap of the Year in Review CIRO’s Serving up Proposals for Proficiency ASC’s 2024 Annual Report Scoop In Brief: The Assorted...
Jul 31, 2024 | Canadian Investment Regulatory Organization (CIRO), Client-Focused Reforms (CFRs), Cyber-security and Data Privacy, Investment Funds, Regulatory Compliance
The Canadian Investment Regulatory Organization (CIRO) recently released a bulletin setting out its priority report, describing CIRO’s focus for the 2025 fiscal year (running from April 2024 – March 2025). For this fiscal year, CIRO is focused on three key areas:...
Jun 27, 2024 | Featured
In this bulletin: A Balancing Act: New Time-Limited Expansion of Permitted EMD Activities FSRA’s Gearing up for Change: Consultation on Total Cost Reporting for Segregated Funds In Brief: 2023 Annual Report of OSC’s Investor Advisory Panel: Staying Safe ▪ Watching...
Jun 27, 2024 | Client-Focused Reforms (CFRs), Investment Funds, Regulatory Compliance
Earlier this month, the Ontario Securities Commission’s Investor Advisory Panel (the Panel) released its annual report. The Panel is an advisory committee to the OSC, that represents the views of retail investors on policy and rule-making initiatives. Among other...
Jun 27, 2024 | Canadian Investment Regulatory Organization (CIRO), Investment Funds, Regulatory Compliance
Early this month, the Office of the Investor at the Canadian Investment Regulatory Organization (CIRO) released the results of its first investor survey (together with the Innovative Research Group), which was intended to provide insights into trends and financial...
Mar 28, 2024 | Canadian Investment Regulatory Organization (CIRO), Client-Focused Reforms (CFRs), Cyber-security and Data Privacy, Investment Funds, Regulatory Compliance
On March 13, 2024, the Canadian Investment Regulatory Organization (CIRO) released its compliance priorities for the year. There is much in the document for CIRO members to note. Dealers need to pay special attention to the emphasis on compliance with the Client...
Feb 29, 2024 | Investment Funds, Mortgage and Real Estate Investment Vehicles, Regulatory Compliance
The Systemic Risk Committee (SRC) of the Canadian Securities Administrators (CSA) allows staff to review and monitor systemic and emerging risks in the Canadian capital markets. The SRC recently released its report for the first time, identifying their views of...
Feb 29, 2024 | BLG Resource Corner
Our colleagues at BLG have provided the following insights we thought might interest our readers: Do Canada’s modern slavery reporting requirements impact investment managers? CBCA transparency register goes public It’s time: CIRO tackles incorporated advisors CSA...
Oct 31, 2023 | BLG Resource Corner
Our colleagues at BLG have provided the following insights we thought might interest our readers: ETFs in the spotlight: The CSA review exchange-traded funds What does a managed service look like in the legal world? Gender diversity in the Canadian boardroom: Where...
Sep 28, 2023 | Client-Focused Reforms (CFRs), Cyber-security and Data Privacy, Investment Funds, Regulatory Compliance
This month, the Canadian Securities Administrators (CSA) released its ‘Year in Review’ which summarizes the activities of the provincial and territorial regulators over the past year (July 1, 2022 – June 30, 2023) (the Report). The Report outlines the CSA’s strategic...
Aug 31, 2023 | BLG Resource Corner
Like the warmth of an August sun bringing people together, we would like to take this opportunity to remind you of the relationship between AUM Law and BLG. AUM Law is a wholly-owned subsidiary of BLG and is integrated with BLG’s suite of managed and advisory services...
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...
Apr 28, 2023 | Investment Funds, Regulatory Compliance
The CSA released the annual report (Report) summarizing its key activities in 2022 with respect to its oversight of what was then known as the Investment Industry Regulatory Organization of Canada (IIROC) and the Mutual Fund Dealers Association of Canada (MFDA) and...
Feb 28, 2023 | Featured
In this bulletin: Taking Care of One Another – New SRO Releases Proposal on Distributing Funds to Harmed Investors Conflicts of Interest Requirements – More Than Once Per Year In Brief: In Sync – Ontario’s Ownership Transparency Obligations Now in Force ▪ A...
Jan 31, 2023 | BLG Resource Corner
Our colleagues at BLG have provided the following insights we thought might interest our readers: CSA allows Fidelity Digital Asset Services to act as liquidity provider to Fidelity Clearing Canada Privacy, cybersecurity and M&A transactions – A cautionary tale...
