by Barbara Hendrickson | Mar 15, 2020
The Canadian Securities Administrators (CSA) have issued CSA Staff Notice 43-310 Confidential Pre-File Review of Prospectuses (for non-investment fund issuers) (the Staff Notice). The Staff Notice expands the availability of confidential pre-file reviews that some CSA...
by Barbara Hendrickson | Mar 15, 2020
The Canadian Securities Administrators (CSA) have published CSA Staff Notice 21-328 Regulatory Approach to Foreign Marketplaces Trading Fixed Income Securities(the Staff Notice). The Staff Notice discusses the framework developed by the CSA that will grant exemptions...
by Barbara Hendrickson | Mar 13, 2020
The Ontario Securities Commission (OSC) has published for comment Proposed Ontario Securities Rule 81-502, Restrictions on the use of the Deferred Sales Charge Option for Mutual Funds (The Proposed Rule) restricting the use of deferred sales charges (the DSC Option)...
by Barbara Hendrickson | Mar 13, 2020
As the COVID-19 coronavirus spreads across the globe, investor uncertainty over the economic impact of the coronavirus is increasingly reflected in the markets. Financial regulators have begun to take note and react. Early in March, in the United States, the...
by Barbara Hendrickson | Mar 2, 2020
The Canadian Securities Administrators (CSA) have published Proposed National Instrument 45-110 Start-up Crowdfunding Registration and Prospectus Exemptions (the Proposed National Instrument), for a 90-day comment period ending May 27, 2020. The Proposed National...
