Tag: securities law

Bulletin | Biking Edition | June 2024

Jun 27, 2024 | Featured

In this bulletin: A Balancing Act: New Time-Limited Expansion of Permitted EMD Activities FSRA’s Gearing up for Change: Consultation on Total Cost Reporting for Segregated Funds In Brief: 2023 Annual Report of OSC’s Investor Advisory Panel: Staying Safe  ▪  Watching...

Bulletin | BBQ Season Edition | May 2024

May 30, 2024 | Featured

In this bulletin: OSC Releases Hot Strategic Plan for 2024-2030 Experimenting with Flavours and Exemptions – Supporting Early-Stage Ontario Businesses Charred and Charted – Did CRM2 Work? In Brief: Grilling of Disclosure – Is it Clear and Conspicuous Enough?  ▪ ...

Bulletin | Poetic Perspectives Edition | April 2024

Apr 24, 2024 | Featured

In this bulletin: Verse and Versatility – CIRO’s Ambitious Three-Year Strategic Plan Compliance in Stanzas: Breaking Down FSRA’s 2024-27 Annual Business Plan Crafting Connections: Phase 3 of CIRO’s Rule Consolidation Project In Brief: Will the Money Pour in from...

Bulletin | Sweet Dreams Edition | March 2024

Mar 28, 2024 | Featured

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

Feb 29, 2024 | Featured

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

Jan 31, 2024 | Featured

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

Dec 21, 2023 | Featured

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

Nov 30, 2023 | Featured

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

Oct 31, 2023 | Featured

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

Sep 29, 2023 | Featured

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

Aug 31, 2023 | Featured

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

Jul 31, 2023 | Featured

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

Jun 30, 2023 | Featured

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...