by Barbara Hendrickson | Mar 19, 2020
On March 6, 2020 the Financial Services Regulatory Authority of Ontario (FSRA) published a press release reminding FSRA regulated entities about their business continuity plans in light of the COVID – 19 disruption. FSRA suggested that entities regulated by FSRA...
by Barbara Hendrickson | Mar 19, 2020
The Canadian Securities Administrators (CSA) published for comment on March 5, 2020 proposed amendments designed outline how registrants can address situations involving diminished mental capacity or the potential financial exploitation of vulnerable clients. Under...
by Barbara Hendrickson | Mar 17, 2020
On March 16, 2020 the Canadian Securities Administrators (CSA) issued a press release which encourages reporting issuers to contact their principal regulator to discuss any potential effect of the current COVID-19 outbreak on their ability to comply with their...
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...
