Tag: System for Electronic Data Analysis and Retrieval +

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...

CSA Defers Launch of SEDAR+

On June 1, the Canadian Securities Administrators (CSA) issued an update announcing that the much anticipated launch of SEDAR+ was being postponed, with a revised launch date of July 25, 2023, and a contingency date of September 12, 2023. To ensure that organizations...

Reminder: Long Live SEDAR+ Onboarding

As last mentioned in both our February 2023 and March 2023 bulletins, SEDAR+ is expected to launch on June 13, 2023. While the deadline for onboarding filers needing access to the system on the first day it is operational has passed, issuers will still be permitted to...