Tag: regulatory compliance

CSA Publishes Guidance on Flexible CCO Arrangements

On July 2, the Canadian Securities Administrators (CSA) published Staff Notice 31-358 Guidance on Registration Requirements for Chief Compliance Officers and Request for Comments (SN 31-358), which outlines and provides guidance on three optional models for employment...

Bulletin | Staycation Edition | June 2020

In this bulletin: CSA Consults on Potential Reforms to SRO Framework CSA Members Say They’ve Made It Easier to Register Client Relationship Management Specialists Federal Court of Appeal Rules on Constitutionality and Application of Canada’s Anti-Spam Legislation OSC...

Bulletin | Taking Care of Business Edition | May 2020

In this bulletin: The RAQ is Back on Track OSC Issues Progress Report on Its Burden Reduction Initiatives OSC Staff Share Compliance Program Updates during PMAC’s Spring Regulatory and Compliance Webcast FSRA Issues Guidance Concerning Mortgage-Based Investments...

CSA Renews Exemptive Relief from Filing Deadlines for Investment Funds, Other Issuers, Registrants and Certain Other Market Participants

On May 20, the Canadian Securities Administrators (CSA) issued substantially harmonized blanket orders giving investment funds and other issuers temporary relief from certain regulatory and filing obligations. The conditions of relief are similar to the blanket orders...