by Barbara Hendrickson | May 25, 2022
The Canadian Securities Administrators (CSA) have published CSA Staff Notice 25-303 2021 CSA Annual Activities Report on the Oversight of the Self-Regulatory Organizations (SROs) and Investor Protection Funds (IPFs) (The Report). The Report summarizes CSA oversight of...
by Barbara Hendrickson | May 25, 2022
The British Columbia Securities Commission (BCSC)’s most recent Compliance Report Card of investment dealers and advisers reflects the past year’s focus on marketing materials these firms use to attract and retain clients. The Report Card highlights several recurring...
by Barbara Hendrickson | Apr 20, 2022
The Canadian Securities Administrators (CSA) recently published changes to harmonize the interpretation of the financial statement requirements for a long-form prospectus, such as in an issuer’s initial public offering (IPO) (the changes). Specifically, the changes...
by Barbara Hendrickson | Apr 20, 2022
The Investment Industry Regulatory Organization of Canada (IIROC) has republished, for public comment for a period ending June 13, 2022, proposed amendments to the IIROC Rules (the Proposed Amendments). The goal of the Proposed Amendments (previously published in...
by Barbara Hendrickson | Apr 19, 2022
The Canadian Securities Administrators (CSA) has published for comment a series of proposed amendments and proposed changes to implement an access equals delivery model for non-investment fund reporting issuers (the Proposed Amendments). The comment period will last...
