Mar 31, 2023 | Regulatory Compliance
The Ontario Securities Commission (OSC) published its 2023 Annual Service Commitment Review on March 21, 2023. The OSC has updated its service standards and returned to pre-extension 2021 service timelines and targets for reviewing prospectus filings and applications...
Oct 31, 2022 | Investment Funds, Regulatory Compliance
On October 19, 2022, the OSC published Staff Notice 81-733 Summary Report for Investment Fund and Structured Product Issuers (the Report). The Report provides an overview of the key activities and initiatives of the OSC’s Investment Funds and Structured Products...
Apr 29, 2022 | Regulatory Compliance
The Investment Industry Regulatory Organization of Canada (IIROC) has proposed amendments to codify existing exemptions provided through exemptive relief applications that allow IIROC dealer participants to trade listed securities off-marketplace during a statutory...
