Nov 29, 2024 | Regulatory Compliance
Investment funds that utilize the option in National Instrument 45-106 – Prospectus Exemptions (NI 45-106) to file Reports of Exempt Distribution on Form 45-106F1 (Reports) once a year should start to consider populating the required information now. As you may...
Jul 31, 2023 | Regulatory Compliance
The Canadian Securities Administrators (CSA) announced on July 20 with effect from July 21, 2023, that they were issuing substantively harmonized exemptions from the requirement to file certain private placement forms [Form 45-106F1 Report of Exempt Distribution]...
Jun 30, 2023 | Regulatory Compliance
On June 1, the Canadian Securities Administrators (CSA) issued an update announcing that the much anticipated launch of SEDAR+ was being postponed, with a revised launch date of July 25, 2023, and a contingency date of September 12, 2023. To ensure that organizations...
May 31, 2023 | Regulatory Compliance
The Canadian Securities Administrators (CSA) members are providing exemptions from a number of filing requirements which are connected to the switch over to SEDAR+. As the switch over occurs, SEDAR+ will be unavailable from June 9 to at least June 13. In effect, the...
May 31, 2023 | Regulatory Compliance
As last mentioned in both our February 2023 and March 2023 bulletins, SEDAR+ is expected to launch on June 13, 2023. While the deadline for onboarding filers needing access to the system on the first day it is operational has passed, issuers will still be permitted to...
Sep 30, 2021 | Regulatory Compliance
We would like to remind our clients of a few items to consider with respect to their NRD filing obligations, so that filings are made (and approved) as quickly as possible. When filing a new individual registration on Form 33-109F4 – Registration of Individuals and...
Jun 30, 2021 | Investment Funds, Regulatory Compliance
A friendly reminder that Ontario businesses with 20 or more employees must file a prescribed Accessibility Compliance Report due today, June 30, 2021. The purpose of the Report is to determine compliance with the accessibility requirements of the Accessibility for...
Oct 30, 2020 | News, Regulatory Compliance
It’s time for Ontario-registered firms, unregistered exempt international dealer/adviser firms, and unregistered investment fund managers to get ready to file their annual participation fee calculations with the Ontario Securities Commission (OSC) by December 1 and...
Mar 31, 2020 | COVID-19, Investment Funds, Regulatory Compliance
In light of the COVID-19 pandemic, the Canadian Securities Administrators (CSA), including the Ontario Securities Commission (OSC), have been providing blanket exemptive relief and taking other steps to relieve burdens for market participants. The situation is fluid...
