Tag: securities

Bulletin | Music Festival Edition | August 2024

In this bulletin: Sound Justice: OSC Proposal on Disgorgement Orders An Orchestrated Collection of Information – 2024 CSA Investor Index Next in the Festival Line Up: Understanding New Complaint Handling Regulations in Québec In Brief: Dancing to FINTRAC’s Beat:...

Bulletin | Ice Cream Edition | July 2024

In this bulletin: OSC’s Annual Summary Report for Dealers, Advisers and Investment Fund Managers: A Layered Regulatory Sundae CSA’s Cool Recap of the Year in Review CIRO’s Serving up Proposals for Proficiency ASC’s 2024 Annual Report Scoop In Brief: The Assorted...

ASC’s 2024 Annual Report Scoop

In its recently released annual report, the Alberta Securities Commission (ASC) discusses the completion of the first fiscal year under its new three-year strategic plan. The three pillars of the strategic plan remain intelligent regulation aimed at fostering a...

Important Reminder: Total Cost Reporting

Many registrants received a reminder earlier this month from the securities regulatory authorities that the enhanced cost disclosure reporting requirements for investment funds (and new cost and performance reporting guidance for segregated funds) will be in force on...

Bulletin | Biking Edition | June 2024

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...