Tag: Form 33-109F5

Bulletin | Daylight Saving Time Debate Edition | March 2022

Mar 31, 2022 | Featured

In this bulletin: A Matter of Time: FSRA Consultation on Licensing Requirements for Mortgage Agents and Brokers FSRA Releases New Approach Guidance for Principles – Based Regulation at All Times Make Time for IIROC’s Compliance Priorities Report A Devil of a Time:...

Bulletin | Hello February! Why So Short? Edition | February 2022

Feb 28, 2022 | Featured

In this bulletin: Everything’s Derivative: Canadian Securities Regulators Adopt Amendments to Derivatives Clearing Rules Now You See Me: New Ownership Transparency Requirements for Private Ontario Corporations Not Just a Status Update: New AML Requirements Applicable...

FAQ Corner: Does Investing Clients’ Assets Into Crypto Require a Portfolio Manager (PM) to First Update its Business Plan with the Ontario Securities Commission (the OSC)?

Feb 28, 2022 | FAQs, Investment Funds, Regulatory Compliance

Answer: This question arises because OSC Staff have stated their position that a registered firm that plans to establish, manage, advise and/or trade in securities of investment funds with portfolios of cryptocurrencies or cryptocurrency assets are required to report...