Jan 31, 2022 | Regulatory Compliance
As reported in our November 2021 Bulletin, the CSA’s rules on titles for registered individuals who interact with clients changed effective December 31, 2021 as part of the client-focused reforms to National Instrument 31-103 Registration Requirements, Exemptions and...
Nov 30, 2021 | Client-Focused Reforms (CFRs), Featured, Investment Funds, Regulatory Compliance
In this bulletin: Ontario’s New Draft Capital Markets Act – Topics of Interest to Registrants Déjà vu – Titles, Titles and More Titles – Proposed Amendments to Draft FSRA Guidance In Brief: FSRA Consults on Consumer Advisory Panel ▪ Independent Evaluation of OBSI ▪...
Nov 30, 2021 | Regulatory Compliance
We assist many businesses that are obtaining registration as an exempt market dealer, adviser and/or investment fund manager for the first time. Often, those seeking registration for their start-up businesses have engaged in other types of activities prior to...
Nov 30, 2021 | Client-Focused Reforms (CFRs), Regulatory Compliance
As previously mentioned in our bulletins, as part of the client-focused reforms to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, a new prohibition on misleading communications will apply as of the end of the year....
