by Barbara Hendrickson | Aug 19, 2021
On July 15, 2021, the Canadian Securities Administrators (CSA) published final amendments of National Instrument 31-101 Registration Requirements, Exemptions and Ongoing Registration Obligations designed to improve protection of older and vulnerable clients across...
by Barbara Hendrickson | Aug 19, 2021
On August 12, 2021, the Canadian Securities Administrators (CSA) are published for a 60-day comment period proposed changes (the Proposed Changes) National Instrument 41-101 General Prospectus Requirements (41-101CP) and its Companion Policy 41-101CP. The proposed...
by Barbara Hendrickson | Aug 19, 2021
On July 8, 2021, the Canadian Securities Administrators (CSA) signed an innovative functions co-operation agreement with the Securities and Futures Commission of Hong Kong (SFC). The members are the securities regulatory authorities in British Columbia, Alberta,...
by Barbara Hendrickson | Aug 19, 2021
On August 3, 2021, the Canadian Securities Administrators (CSA) released a framework for replacing the two major Canadian Self- Regulatory Organizations (SROs) – the Investment Industry Regulatory Organization of Canada (IIROC) and the Mutual Fund Dealers Association...
by Barbara Hendrickson | Jun 29, 2021
On June 17, 2021, the TSX Venture Exchange (the “Exchange”) followed up on a previously issued bulletin (the “April 8, 2020 Bulletin”) that provided notice that, in response to the COVID-19 pandemic, the Exchange would provide temporary relief (the “Temporary Relief”)...
