Nov 30, 2022 | Regulatory Compliance
A few impending filing deadlines that we thought would be helpful to note from past bulletins for your reference: December 1 (yes, December 1) is the deadline for registrants in Ontario and foreign firms that rely on certain exemptions from the registration...
Oct 31, 2022 | Regulatory Compliance
As we also described in our June bulletin, it is expected that it may take some firms a significant amount of time to amend an individual registrant’s Form 33-109F4 to update any “other activities” as required by amendments to National Instrument 33-109 Registration...
Jun 30, 2022 | Investment Funds, News, Regulatory Compliance
As referenced in our article above, the amendments to National Instrument 33-109 Registration Information (NI 33-109) are now in force. As a result, any changes required to be made to an individual registrant’s Form 33-109F4 must be done no later than June 6, 2023....
Mar 31, 2022 | Regulatory Compliance
Think way, way back to our January 2022 bulletin, where we wrote about the final changes to the Outside Business Activities (OBA) framework, effective as of June 6, 2022. Two months have just flown by, and so will the time between now and June. The amendments to...
Jan 31, 2022 | Regulatory Compliance
On December 16, 2021, the Canadian Securities Administrators (the CSA) announced that amendments to legislation clarifying the “Outside Activity” (OA) reporting framework and modernizing registration information requirements (the Amendments), have been finalized and...
Feb 26, 2021 | Regulatory Compliance
On February 4, the Canadian Securities Administrators (CSA) released a number of proposed changes to certain initial and ongoing regulatory reporting requirements for registrants. The CSA is inviting comments on these proposals by May 5. Some of the highlights of...
