by Barbara Hendrickson | Aug 11, 2020
The Canadian Securities Administrators (CSA) recently published their Oversight Report (the Report) regarding the Investment Industry Regulatory Organization of Canada (IIROC). The report, written by CSA staff, looks at whether IIROC has complied with the terms...
by Barbara Hendrickson | Jul 6, 2020
July 2, 2020 staff of the Canadian Securities Administrators (CSA) issued a notice (Notice) setting out guidance regarding the registration requirements for chief compliance officers (CCOs) under National Instrument 31-103 Registration Requirements, Exemptions and...
by Barbara Hendrickson | Jul 2, 2020
The Canadian Securities Administrators (CSA) on June 30, 20 released an interim progress reports on initiatives published in its CSA 2019-2022 Business Plan, which sets out the priorities of its members over the course of the next three-year period. The progress...
by Barbara Hendrickson | Jun 24, 2020
On June 11, 2020 the Ontario Securities Commission (OSC) published report on a review conducted OSC Staff, of the crypto asset trading platform QuadrigaCX (Quadriga). The collapse of Quadriga in 2019 caused massive losses for 76,000 investors from Canada and around...
