by Barbara Hendrickson | Feb 21, 2020
The Canadian Securities Administrators (CSA) have adopted a ban on deferred sales charges (the DSC Option) on mutual funds. Specifically, the ban will prohibit the payment by fund organizations of upfront sales commissions to dealers, which will result in the...
by Barbara Hendrickson | Feb 20, 2020
In its recent MFDA Special Report on Securities Industry Self-Regulation (the Report), The Mutual Fund Dealers Association (MFDA) has proposed the creation of a new securities regulator that if adopted, would replace MFDA. The Report, which explores the...
by Barbara Hendrickson | Feb 18, 2020
The Canadian Securities Administrators (CSA) have published CSA Staff Notice 23-326, Order Protection Rule: Market Share Threshold for the period April 1, 2020 to March 31, 2021 (the Staff Notice and Proposed Rule), for a second notice and comment period ending May...
by Barbara Hendrickson | Feb 10, 2020
Two recent announcements, one in the United States, and the other in the European Union, provide further evidence that securities regulators are paying closer to attention to climate change disclosure by market participants. A recent address by Jay Clayton, Chairman...
by Barbara Hendrickson | Jan 29, 2020
The securities regulators of Alberta, Manitoba, New Brunswick, Nova Scotia, Ontario, Quebec, and Saskatchewan (the participating jurisdictions) have jointly published CSA Multilateral Staff Notice 58-311 Report on Fifth Staff Review of Disclosure regarding Women...
