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CSA Initiates Review of Exchange-Traded Funds

The Canadian Securities Administrators (CSA) is launching a review of exchange-traded funds (ETFs). ETFs are an increasingly popular investment vehicle, offering exposure to a variety of underlying assets and investment strategies, with intraday liquidity on the secondary market. According to CSA staff, ETFs comprise approximately…

CSA Exempts Certain Filing Requirements During SEDAR+ Launch

Participating members of the Canadian Securities Administrators (CSA) will be issuing exemptions from certain filing requirements (the blanket orders) to cover the brief period before the System for Electronic Document Analysis and Retrieval (SEDAR) will be switched to a new centralized system, SEDAR+. The blanket…

BAX Announcement – July 13, 2023

BAX Securities Law is pleased to announce that Barbara Hendrickson has been appointed to a second two year term with the BCSC Fintech Advisory Forum. The Forum is made up of financial technology (fintech) industry professionals and experts and advises BCSC staff on fintech trends…

OSC Publishes OSC Staff Notice 52-724 Considerations for Public Accounting Firms in Developing Internal Ethics Policies and Procedures

The Ontario Securities Commission (OSC) has published a report aimed at guiding public accounting firms to develop and implement robust internal ethical policies and procedures (OSC Staff Notice 52-724, Considerations for Public Accounting Firms in Developing Internal Ethics Policies and Procedures, the Staff Notice). The…

CSA Exempts Certain Filing Requirements During SEDAR+ Launch

Participating members of the Canadian Securities Administrators (CSA) are issuing exemptions from certain filing requirements (the blanket orders) due to delays in the implementation of SEDAR+. The CSA now expects the launch date to be July 25, 2023, with a contingency date in September. In…

Canadian securities regulators publish CSA Staff Notice 45-330: Frequently Asked Questions about the Listed Issuer Financing Exemption

The Canadian Securities Administrators (CSA) have published CSA Staff Notice 45-330: Frequently Asked Questions about the Listed Issuer Financing Exemption (The Staff Notice). The Staff Notice answers some of the frequently asked questions (FAQs) on the listed issuer financing exemption (the exemption) adopted by all securities…