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...
Sep 27, 2022 | Investment Funds, Regulatory Compliance
In early September, the Canadian Securities Administrators (CSA) began reviewing the sales practices of certain mutual funds, namely those that have a relationship with a registrant to act as a principal distributor of those funds. According to National Instrument...
Oct 30, 2020 | News, Nutshell Series
In October 2019, the Canadian Securities Administrators (CSA) finalized their client-focused reforms to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (NI 31-103) (CFRs or Amendments). The CFRs are the most sweeping...
