Jun 30, 2023 | Canadian Investment Regulatory Organization (CIRO), Investment Funds, Regulatory Compliance
Effective January 1, 2023, the New Self-Regulatory Organization of Canada (New SRO) – the amalgamated self-regulatory body formed from the Mutual Fund Dealers Association of Canada (MFDA) and the Investment Industry Regulatory Organization of Canada (IIROC) – launched...
Apr 28, 2023 | Investment Funds, Regulatory Compliance
On an annual basis, the Ontario Securities Commission (OSC) delivers a multi-year business plan addressed to the Minister of Finance, which among other items, includes the OSC’s Statement of Priorities (SoP), which the OSC undertakes as its goals and priorities for...
Nov 30, 2022 | Investment Funds, Regulatory Compliance
The Ontario Securities Commission (OSC) recently announced that new OSC Rule 13-502 Fees and OSC Rule 13-503 (Commodity Futures Act) Fees and their respective companion policies will come into effect on April 2, 2023. As noted in our January 2022 bulletin article, the...
Aug 17, 2022 | Regulatory Compliance
Faithful bulletin readers will recall our prior articles regarding the proposed derivatives business conduct rules, most recently released in January for the third round of comments in Proposed National Instrument 93-101 Derivatives: Business Conduct and Proposed...
Jun 30, 2022 | Regulatory Compliance
The Ontario Securities Commission (OSC) released a request for comment on June 9th relating to derivatives data reporting requirements in OSC Notice and Request for Comment – Proposed Amendments to OSC Rule 91-507 Trade Repositories and Derivatives Data Reporting (and...
Jun 30, 2022 | Cyber-security and Data Privacy, Investment Funds, Regulatory Compliance
As we reported in our May 2022 Bulletin, the Canadian Securities Administrators (CSA) are consulting on the application to consolidate the Investment Industry Regulatory Organization of Canada (IIROC) with the Mutual Fund Dealers Association of Canada (MFDA) by the...
May 31, 2022 | Investment Funds, Regulatory Compliance
The Canadian Securities Administrators (CSA) has taken one step closer to realizing on its recommendations to consolidate the two existing self-regulatory organizations (SROs), IIROC and the MFDA, into a single SRO (New SRO) in CSA Staff Notice and Request for Comment...
Apr 29, 2022 | Client-Focused Reforms (CFRs), Regulatory Compliance
On April 21, the Investment Industry Regulatory Organization of Canada (IIROC) released another version of proposed amendments to its rules relating to the futures segregation and portability customer protection regime. As noted in our August 2021 bulletin, the...
Apr 29, 2022 | Client-Focused Reforms (CFRs), FAQs, Investment Funds, Regulatory Compliance
You just got a formal request from the Ontario Securities Commission (OSC) that they would like to come by for a visit, accompanied by a request for all the inner workings of your firm, what do you do?! First, respond. Second, get ready, any regulatory review will be...
