Oct 31, 2023 | Investment Funds, Regulatory Compliance
As per our reminder last month, if you are a firm registered in Ontario under the Securities Act or the Commodity Futures Act, or relying on international exemptions from the registration requirements, be sure to file your 2023 fee forms and pay the applicable capital...
Sep 28, 2023 | Investment Funds, Regulatory Compliance
Registrants in Ontario should have already received an email directly from the Ontario Securities Commission (OSC) reminding them of the changes in the deadlines to file 2023 Fee Forms and pay applicable capital markets participation fees. Along with all firms...
Nov 30, 2021 | Client-Focused Reforms (CFRs), Featured, Investment Funds, Regulatory Compliance
In this bulletin: Ontario’s New Draft Capital Markets Act – Topics of Interest to Registrants Déjà vu – Titles, Titles and More Titles – Proposed Amendments to Draft FSRA Guidance In Brief: FSRA Consults on Consumer Advisory Panel ▪ Independent Evaluation of OBSI ▪...
Oct 29, 2021 | BLG Resource Corner
Our colleagues at BLG have written a number of articles we thought might interest our readers, including the following: TCFD implementation: The Shifting Landscape of Climate Change Policy in North America Insurance as a Cybersecurity and Privacy Risk Management Tool...
