by Barbara Hendrickson | Oct 6, 2019
With the publication of BC Instrument 13-502, Electronic filing of Reports of Exempt Distribution (the Instrument) and its Companion Policy, 13-502CP (the Companion Policy), the British Columbia Securities Commission (BCSC) has set forth procedures and expectations...
by Barbara Hendrickson | Sep 24, 2019
A British Columbia Securities Commission (BCSC) panel has imposed a total of CAD $1.7 million in fines and lifetime securities trading bans on three British Columbia men and two Mortgage Investment Corporations (MICs) after finding them guilty of committing fraud. At...
by Barbara Hendrickson | Sep 19, 2019
The Ontario Securities Commission (OSC) has announced that it is amending the fee rules (the Rules) for the submitting of annual capital market participation fee forms (the Fee Forms) to the OSC to allow market participants great flexibility. All market participants...
by Barbara Hendrickson | Sep 18, 2019
The Ontario Securities Commission (OSC) has published its 2019 Annual Report (the Annual Report), providing a snapshot of the regulator’s initiatives and actions over the past year. In the Annual Report, the OSC noted that in 2018 -2019: • there were 68,366 registered...
by Barbara Hendrickson | Sep 16, 2019
The Canadian Security Administrators (CSA) have introduced for a ninety-day comment period ending December 11, 2019, eight initiatives (collectively, The Proposed Amendments) that seek to reduce the regulatory burden on investment funds by eliminating duplicate...
