Aug 31, 2023 | Regulatory Compliance
In 2019, the Ontario government introduced the Financial Professionals Title Protection Act (FPTPA) which established minimum standards for the use of Financial Planner (FP) and Financial Advisor (FA) titles in the province. The legislation came into force in March of...
Mar 31, 2022 | Regulatory Compliance
The Financial Services Regulatory Authority of Ontario (FSRA) released a draft Approach Guidance (Guidance) which outlines its plans for principles-based regulation, including its “Framework Principles” and an explanation of how such regulation will be implemented and...
Aug 31, 2021 | Client-Focused Reforms (CFRs), Investment Funds, Regulatory Compliance
On August 10, 2021, staff of the Compliance and Registrant Regulation (CRR) Branch at the Ontario Securities Commission (OSC) published OSC Staff Notice 33-752 Summary Report for Dealers, Advisers and Investment Fund Managers (Report). The Report provides an overview...
