Jun 27, 2024 | Client-Focused Reforms (CFRs), Investment Funds, Regulatory Compliance
Earlier this month, the Ontario Securities Commission’s Investor Advisory Panel (the Panel) released its annual report. The Panel is an advisory committee to the OSC, that represents the views of retail investors on policy and rule-making initiatives. Among other...
May 30, 2024 | Investment Funds, Regulatory Compliance
On April 25, 2024, the Canadian Securities Administrators (CSA) published two research reports that examined how the implementation of the Client Relationship Model Phase 2 (CRM2) amendments to National Instrument 31-103 Registration Requirements, Exemptions and...
Apr 24, 2024 | Investment Funds, Regulatory Compliance
Back in November, 2022 we wrote about CSA Consultation Paper 21-403 Access to Real-Time Market Data, which dealt with concerns about the cost of accessing market data in Canada where there are multiple marketplaces competing for the same securities to trade. The...
Aug 17, 2022 | Regulatory Compliance
In mid July, the Canadian Securities Administrators (CSA) announced that they have established its new, much anticipated Investor Advisory Panel (IAP) which was first publicized in 2021. The IAP is intended to provide awareness of the interests of retail investors’...
Jan 31, 2022 | Regulatory Compliance
The CSA released Staff Notice and Request for Comment 11-343 Proposal to Establish a CSA Investor Advisory Panel, to obtain the views of retail investors more formally and methodically through a pan-Canadian panel. The panel is intended to include a diverse range of...
Jan 29, 2021 | Regulatory Compliance
On January 27, 2021, the International Organization of Securities Commissions (IOSCO) published a report titled “Complaint Handling and Redress System for Retail Investors” that sets forth practices aimed at assisting its members in developing and...
Aug 31, 2020 | Investment Funds, Regulatory Compliance
On August 27, the Canadian Securities Administrators (CSA) published a report on their four-year study of what individual investors think about fees and the performance of their investments and how they interact with their advisors (Report). The study was conducted to...
