Dec 21, 2023 | Canadian Investment Regulatory Organization (CIRO), Client-Focused Reforms (CFRs), Investment Funds, Regulatory Compliance
Staff of the Canadian Securities Administrators (the CSA) and the Canadian Investment Regulatory Organization (CIRO) recently published an update to previously published guidance on the Client Focused Reforms – FAQs on the CFRs dated December 6, 2023. In the update,...
Nov 30, 2023 | Cyber-security and Data Privacy, Regulatory Compliance
This month, the Ontario Securities Commission (OSC) in collaboration with Ernst & Young LLP published its first report (the Report) on the adoption and use of artificial intelligence (AI) in Ontario’s capital markets. The Report canvasses the ways AI is currently...
Sep 28, 2023 | Client-Focused Reforms (CFRs), Investment Funds, Regulatory Compliance
On September 13, 2023, the Ontario Securities Commission (OSC) published Staff Notice 81-734 Summary Report for Investment Fund and Structured Product Issuers (the IFM Report). The IFM Report provides an overview of the key operational and policy initiatives of the...
