The Mutual Fund Dealers Association of Canada (MFDA) is publishing for a 135 -day comment period proposed amendments to MFDA Policy No. 9 Continuing Education (CE) Requirements (The Amendments). The comment period ends August 10, 2020. The Amendments intend to establish the MFDA’s CE accreditation…
TSX Venture Exchange (the “Exchange”) on March 23, 2020 has announced temporary blanket relief (the “Temporary Relief”) from certain provisions of the Exchange’s Corporate Finance Manual (the “Manual”) as described in more detail below. The Exchange is extending the timeframe within which Issuers must hold…
[et_pb_section admin_label=”section”] [et_pb_row admin_label=”row”] [et_pb_column type=”4_4″][et_pb_text admin_label=”Text”] Further to its announcement on March 18, the Canadian Securities Administrators (CSA) announced on March 23, 2020 a temporary blanket relief for market participants from certain regulatory filings, as a result of COVID-19. The blanket relief provides a 45-day extension…
The Canadian Securities Administrators (CSA) published a notice on March 19, 2020 warning investors about companies claiming to have products or services that will prevent, detect or cure coronavirus (COVID-19) infection. According to the notice fraudsters taking advantage of the current situation to attract potential…
The Canadian Securities Administrators (CSA) announced on March 18, 2020 will provide temporary relief from some regulatory filings required to be made on or before June 1, 2020 in light of recent COVID-19 developments and their impact on market participants, The blanket relief will provide…
On March 6, 2020 the Financial Services Regulatory Authority of Ontario (FSRA) published a press release reminding FSRA regulated entities about their business continuity plans in light of the COVID – 19 disruption. FSRA suggested that entities regulated by FSRA should self-assess what core functions…
The Canadian Securities Administrators (CSA) published for comment on March 5, 2020 proposed amendments designed outline how registrants can address situations involving diminished mental capacity or the potential financial exploitation of vulnerable clients. Under the proposed amendments, registrants will be required to take reasonable steps…
On March 16, 2020 the Canadian Securities Administrators (CSA) issued a press release which encourages reporting issuers to contact their principal regulator to discuss any potential effect of the current COVID-19 outbreak on their ability to comply with their obligations under securities legislation, including filing deadlines…
The Canadian Securities Administrators (CSA) have issued CSA Staff Notice 43-310 Confidential Pre-File Review of Prospectuses (for non-investment fund issuers) (the Staff Notice). The Staff Notice expands the availability of confidential pre-file reviews that some CSA jurisdictions are already conducting. Pre-file review (the pre-file process)…
The Canadian Securities Administrators (CSA) have published CSA Staff Notice 21-328 Regulatory Approach to Foreign Marketplaces Trading Fixed Income Securities(the Staff Notice). The Staff Notice discusses the framework developed by the CSA that will grant exemptions to foreign alternative trading systems trading fixed income securities…