by Barbara Hendrickson | Dec 20, 2019
The Canadian Securities Administrators (CSA) has published CSA Staff Notice 81-332, Next Steps on Proposals to Prohibit Certain Investment Fund Embedded Commissions (the Staff Notice). The document details the regulator’s ongoing plan to prohibit certain classes of...
by Barbara Hendrickson | Dec 16, 2019
The Ontario Securities Commission (OSC) and the Financial Services Regulatory Authority of Ontario (FSRA) have updated the timeline for the handover of responsibility of oversight of syndicated mortgage investments from FSRA to the OSC. The handover which was to...
by Barbara Hendrickson | Dec 16, 2019
The Financial Services Regulatory Authority of Ontario (FSRA) has provided an update for its intentions to provide burden reduction for syndicated mortgage investments. While earlier introducing a new supervisory approach to higher-risk syndicated mortgages marketed...
by Barbara Hendrickson | Dec 5, 2019
Canada’s financial watchdog, the Financial Transactions and Reports Analysis Centre of Canada (FINTRAC), has published updated requirements for the identification of certain individuals or corporations or entities, Methods to Verify the Identity of an Individual and...
by Barbara Hendrickson | Nov 25, 2019
The Financial Services Regulatory Authority (FSRA) of Ontario has taken its first steps in bringing financial planners and financial advisors (planners and advisors) under its aegis, by opening with discussions with stakeholders regarding a plan that would firm up...
