Tag: securities law

Bulletin | Sweet Dreams Edition | March 2024

In this bulletin: Wakeup Call: CIRO Compliance Priorities for 2024 Avoiding Nightmares – Updates to CSA Staff Notice on ESG Guidance for Funds Sleeping Soundly by Dealing with Fee Arrangement Conflicts Keepin’ up with KYP (or, How to Sleep Like a Baby) In Brief:...

Bulletin | Extra Day, Extra Insights Edition | February 2024

In this bulletin: OSC Releases Digital Engagement Report – Finding Stability Amidst Change Making Adjustments More than Once Every Four Years: Updating and Maintaining SEDAR+ Profiles CIRO Leaps Forward with New Proposed Borrowing Rules In Brief: Keeping Pace in 2024:...

Bulletin | Polar Vortex Edition | January 2024

In this bulletin: Polar Precision: CIRO’s Proposals on Directed Commissions FSRA’s Proposed Approach for Vulnerable Consumers to Weather Financial Storms Skating on Thin Ice: FCSC Proposes New Rules Relating to Title Protection Cold Weather, Warm Access – CSA...

Bulletin | End of Year Edition | December 2023

In this bulletin: A Tale of Chilled Regulations: CSA Updates Expectations on Advisor Awards Heating up Financial Disputes: Proposed Changes for Binding Independent Dispute Resolution Service In Brief: Snow and Settling – CSA Finalizes Changes to Trade Matching Rule ▪...

Bulletin | The Telly Edition | November 2023

In this bulletin: Rate your Priorities – OSC Releases Draft Statement of Priorities The Digital Transformation: OSC Report on Artificial Intelligence in Capital Markets Reporting Transparency on Air: Report on OBSI Oversight From Script to Screen: CIRO Releases...

Bulletin | Ghoulishly Good Governance Edition | October 2023

In this bulletin: Multilateral Instrument 93-101 Derivatives: Business Conduct – A Labyrinth of Compliance Obligations The Witching Hour – AML/ATF Obligations for Mortgage Lenders are Here Reporting on Diversity – A Spellbinding Challenge In Brief: Break out the...

Bulletin | Month of Change Edition | September 2023

In this bulletin: Compliance Café – OSC Staff Summary Report for Investment Fund and Structured Product Issuers Brewing Compliance Trends: Joint CSA and CIRO Review of Registrants’ Conflicts of Interest Practices CSA Year in Review; Fall’s Well that Ends Well In...

Bulletin | Paws & Reflection Edition | August 2023

In this bulletin: In the Dog House – Misleading Communications and Advisor Ranking Contests Summer Supervision: FSRA’s Plan for Credentialing Bodies Like a Cloudless August Sky, Ministry of Finance Quietly Proposes New Authorized Purposes for Enforcement Money...

Bulletin | Anti-Boredom Edition | July 2023

In this bulletin:  A Visit from Old Friends – OSC Releases Annual Summary Report for Dealers, Advisers and Investment Fund Managers  Learning Something New – CIRO’s Proposed New Proficiency Model A Trip Around Alberta – ASC Releases 2023 Annual Report Never a Dull...

Bulletin | Asteroid Edition | June 2023

In this bulletin: FSRA Consults Further on the UDAP Rule and Impactful Fee Choices Federal Review of AML Regime with Global Implications CIRO’s Annual Priorities Released: Star Map Set for the New Regulator In Brief: CSA Launches TCR Implementation Committee ▪ CSA...

CSA’s Review of Chargebacks Soon to Take Off

The use of chargebacks in the mutual fund industry is the latest practice to draw the focus of Canadian regulators who have been set on addressing conflict of interest concerns in the Canadian investment industry. On June 1, the Canadian Securities Administrators...

Bulletin | Victoria Day Edition | May 2023

In this bulletin: RegTech 24/7 – OSC Releases First Report on TestLab What’s on the AMF’s Agenda this Year? 2023-2024 Annual Statement of Priorities Published It’s Business Plan Season – FSRA’s Annual Plan BCSC Annual Report Card Illuminates Issues with Conflicts In...

Bulletin | April Showers Edition | April 2023

In this bulletin: Better Days Ahead: Proposed Amendments Regarding Diversity Disclosure AMPed for Spring: FSRA Proposes Guidance on Administrative Monetary Penalties FSRA Proposes Guidance to Cut Down Mortgage Fraud Three more Sakura Seasons, then Total Cost Reporting...

Bulletin | March Break Edition | March 2023

In this bulletin: Don’t Stay Away too Long – Revised Guidance Published for Issuers Relying on the Offering Memorandum Prospectus Exemption Watch that Spring Break Behaviour – OSFI Issues Guideline on Culture and Behaviour Risk Eat, Beach, Sleep, Repeat – New SRO...