by Barbara Hendrickson | Jun 5, 2023
The Canadian Securities Administrators (CSA) have published CSA Staff Notice 45-330: Frequently Asked Questions about the Listed Issuer Financing Exemption (The Staff Notice). The Staff Notice answers some of the frequently asked questions (FAQs) on the listed issuer...
by Barbara Hendrickson | Jun 5, 2023
The Canadian Securities Administrators (CSA) is launching a review of the use of chargebacks in the mutual fund industry. The CSA is undertaking this review due to concerns about potential conflicts of interest associated with this practice. A chargeback involves an...
by Barbara Hendrickson | Apr 27, 2023
In accordance with the Process for the Review and Approval of Rules and the Information Contained in Form 21-101F1 and the Exhibits Thereto, CNSX Markets Inc. (CSE) has proposed, and the Ontario Securities Commission (the OSC) has approved significant changes (the...
by Barbara Hendrickson | Apr 27, 2023
The Canadian Securities Administrators (CSA) has published CSA Staff Notice 25-310 2022 Annual Activities Report on the Oversight of Self-Regulatory Organizations (SROs) and Investor Protection Funds (IPFs) (The Annual Report). The Annual Report summarizes key...
by Barbara Hendrickson | Apr 18, 2023
The Canadian Securities Administrators (CSA) recently announced in of CSA Staff Notice 21-332 (the Staff Notice) a change in the Pre-Registration Undertaking (PRU) that certain unregistered crypto asset trading platforms have filed a with their principal regulator....
