Jun 27, 2024 | Client-Focused Reforms (CFRs), Investment Funds, Regulatory Compliance
Earlier this month, the Ontario Securities Commission’s Investor Advisory Panel (the Panel) released its annual report. The Panel is an advisory committee to the OSC, that represents the views of retail investors on policy and rule-making initiatives. Among other...
Nov 30, 2023 | Canadian Investment Regulatory Organization (CIRO), Corporate Finance, Corporate Law, Economic Sanctions, Investment Funds, Regulatory Compliance
On October 12, 2023, the Canadian Securities Administrators (CSA) and the Canadian Investment Regulatory Organization (CIRO) published Staff Notice 31-364 (the Notice) containing their Annual Report (Report) of the Joint Regulators Committee (JRC) which oversees the...
Dec 11, 2020 | Investment Funds, Regulatory Compliance
On December 3, the Canadian Securities Administrators (CSA) published Consultation Paper 25-403 Activist Short Selling “to facilitate discussion” about this activity in Canada. As described by the CSA, activist short selling involves an individual or entity that takes...
Aug 31, 2020 | COVID-19, Regulatory Compliance
On August 19, the North American Securities Administrators Association (NASAA) reported on the activities of its COVID-19 Enforcement Task Force (Task Force), which has initiated actions to disrupt 200 schemes intended to profit fraudulently from the pandemic....
