Aug 31, 2023 | Investment Funds, Regulatory Compliance
On August 10, the Canadian Securities Administrators (CSA) announced that it will be reviewing exchange-traded funds (ETFs) in Canada, noting that ETFs make up almost 15% of the assets invested in publicly offered investment funds nationwide. The CSA will examine if...
Jan 31, 2022 | Investment Funds, Regulatory Compliance
On January 20, the Canadian Securities Administrators (the CSA) published CSA Notice and Third Request for Comments on Derivatives Business Conduct (the Notice), the CSA’s draft publication setting out rules intended to better protect OTC derivatives market...
Jan 29, 2021 | Regulatory Compliance
On January 27, 2021, the International Organization of Securities Commissions (IOSCO) published a report titled “Complaint Handling and Redress System for Retail Investors” that sets forth practices aimed at assisting its members in developing and...
Jun 30, 2020 | Regulatory Compliance
On May 28, the International Organization of Securities Commissions (IOSCO) published for comment revised Principles on Outsourcing (Revised Principles). Previously, IOSCO had issued outsourcing principles for market intermediaries (2005) and markets (2009). The...
Jun 30, 2020 | Cyber-security and Data Privacy, Regulatory Compliance
On June 25, the International Organization of Securities Commissions (IOSCO) published a draft report and proposed guidance (Report) regarding asset managers and market intermediaries’ use of artificial intelligence (AI), including machine learning (ML). It’s a useful...
