Tag: Registration Requirements Exemptions and Ongoing Registrant Obligations

Bulletin | Star Wars Edition | May 2022

In this bulletin:  Shining a Spotlight on Fees – Total Cost Reporting is Here  Kicking Off a New Regime – Application for Recognition of New Self-Regulatory Organization  Investor Protection Funds in the Limelight – Application for Approval of the New...

Bulletin | Get Ready for Warmer Weather Edition | April 2022

In this bulletin: A Matter of Time: FSRA Consultation on Licensing Requirements for Mortgage Agents and Brokers It’s Still Ongoing – OSC Continues with its Conflict of Interest Focused Reviews Improved ESG Disclosure in Scope as CSA Targets Changes to National...

Bulletin | Daylight Saving Time Debate Edition | March 2022

In this bulletin: A Matter of Time: FSRA Consultation on Licensing Requirements for Mortgage Agents and Brokers FSRA Releases New Approach Guidance for Principles – Based Regulation at All Times Make Time for IIROC’s Compliance Priorities Report A Devil of a Time:...

Bulletin | Hello February! Why So Short? Edition | February 2022

In this bulletin: Everything’s Derivative: Canadian Securities Regulators Adopt Amendments to Derivatives Clearing Rules Now You See Me: New Ownership Transparency Requirements for Private Ontario Corporations Not Just a Status Update: New AML Requirements Applicable...

Bulletin | Snowy January Edition | January 2022

In this bulletin: Getting More for Less – OSC Proposes Amendments to Fee Rule Third Time Lucky? The Latest on the CSA’s Derivatives Business Conduct Rule The CSA Proposes Modernizing Prospectus Filings for Investment Funds Wrapped, Tied and Tangled – OSC...