Tag: financial statements

Bulletin | Sweet Dreams Edition | March 2024

In this bulletin: Wakeup Call: CIRO Compliance Priorities for 2024 Avoiding Nightmares – Updates to CSA Staff Notice on ESG Guidance for Funds Sleeping Soundly by Dealing with Fee Arrangement Conflicts Keepin’ up with KYP (or, How to Sleep Like a Baby) In Brief:...

Bulletin | Extra Day, Extra Insights Edition | February 2024

In this bulletin: OSC Releases Digital Engagement Report – Finding Stability Amidst Change Making Adjustments More than Once Every Four Years: Updating and Maintaining SEDAR+ Profiles CIRO Leaps Forward with New Proposed Borrowing Rules In Brief: Keeping Pace in 2024:...

Bulletin | Paws & Reflection Edition | August 2023

In this bulletin: In the Dog House – Misleading Communications and Advisor Ranking Contests Summer Supervision: FSRA’s Plan for Credentialing Bodies Like a Cloudless August Sky, Ministry of Finance Quietly Proposes New Authorized Purposes for Enforcement Money...

Bulletin | Anti-Boredom Edition | July 2023

In this bulletin:  A Visit from Old Friends – OSC Releases Annual Summary Report for Dealers, Advisers and Investment Fund Managers  Learning Something New – CIRO’s Proposed New Proficiency Model A Trip Around Alberta – ASC Releases 2023 Annual Report Never a Dull...

OSC Releases Annual Summary Report for Dealers, Advisers and IFM

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...

Don’t Stay Away too Long – Revised Guidance Published for Issuers Relying on the Offering Memorandum Prospectus Exemption

On March 8, 2023, staff of the Canadian Securities Administrators (other than Ontario), published revised Multilateral CSA Staff Notice 45-309 (the Notice), first published in 2012, which provides guidance for preparing and filing an offering memorandum (an OM) under...