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....
by Barbara Hendrickson | Apr 18, 2023
The Canadian Securities Administrators (CSA) are publishing for a 90-day comment period ending July 12, 2023 its amendments (the Proposed Amendments) to Corporate Governance Disclosure. In particular: proposed amendments to Form 58-101F1 Corporate Governance...
by Barbara Hendrickson | Apr 1, 2023
The New Self-Regulatory Organization of Canada (New SRO), is seeking to become a credential providing organization for financial advisors under FSRA’s Financial Professionals Title Protection Framework. The New SRO, launched in January 2023, is the result of the...
by Barbara Hendrickson | Apr 1, 2023
The Ontario Securities Commission (OSC) has approved significant changes (the “Amendments”) to the Listing Policies and Forms of the Canadian Securities Exchange (CSE). It has published The Amendments as Canadian Securities Exchange – Amendments to CSE Listing...
