by Barbara Hendrickson | Oct 4, 2022
The members of the Mutual Fund Dealers Association of Canada (MFDA) and the Investment Industry Regulatory Organization of Canada (IIROC) have passed a special resolution approving the amalgamation of the two self-regulatory organizations (SROs) into a new single SRO,...
by Barbara Hendrickson | Sep 29, 2022
The Canadian Securities Administrators (CSA) has proposed a series of amendments that would provide an alternative to delivering financial statements and management reports of fund performance for investment fund reporting issuers (the Proposed Amendments). The...
by Barbara Hendrickson | Sep 29, 2022
The Canadian Securities Administrators (CSA) is reviewing the practices of mutual funds that have principal distributor relationships with registrants to distribute their securities. The goal of the review is to gauge whether additional updates to the mutual fund...
by Barbara Hendrickson | Sep 13, 2022
On September 8th, 2022, the Toronto Stock Exchange (TSX) adopted certain housekeeping amendments (the Amendments) to TSX Company Reporting Form 2E — Change in Transfer Agent & Registrar (Reporting Form 2E) and Reporting Form 5 — Dividend/Distribution...
by Barbara Hendrickson | Sep 13, 2022
On September 8, 2022, The Canadian Securities Administrators (CSA) announced that it was adopting the Listed Issuer Financing Exemption (the new prospectus exemption). Developed for smaller issuers listed on a Canadian stock exchange, it will provide a more efficient...
