by Barbara Hendrickson | Dec 5, 2024
According to results of the third annual systemic risk survey (The Survey) recently published by Canadian Securities Administrators (CSA), Canadian investment dealers and portfolio managers are less concerned about Canadian financial stability than last year. The...
by Barbara Hendrickson | Dec 5, 2024
In response to the current Canadian postal strike, the Canadian Securities Administrators (CSA) is providing temporary relief from requirements to deliver proxy-relate material for annual meetings through a temporary exemption from certain requirements in National...
by Barbara Hendrickson | Dec 5, 2024
The Canadian Securities Administrators (CSA) are adopting amendments to National Instrument 41-101 General Prospectus Requirements (NI 41-101), National Instrument 81-101 Mutual Fund Prospectus Disclosure (NI 81-101), related consequential amendments to NI 41- 101, NI...
by Barbara Hendrickson | Dec 5, 2024
The Canadian Securities Administrators (CSA) are publishing a series of proposed amendments and changes to the principal distributor model in the distribution of mutual funds (the Proposed Amendments and Proposed Changes) for a 90-day comment period ending February...
by Barbara Hendrickson | Nov 25, 2024
The Canadian Securities Administrators (CSA) has published for comment proposed amendments (the Proposed Amendments) to Multilateral Instrument 13-102 System Fees for a 90-comment period ending February 19, 2025. The Proposed Amendments would see system fees for...
by Barbara Hendrickson | Nov 21, 2024
The Ontario Securities Commission (OSC) recently published Insights on the OSC Staff’s Approach to Sustainable Finance (the SF Insights), which builds on the work the regulator has done around sustainable finance and sets its approach for the coming years. The...
by Barbara Hendrickson | Nov 21, 2024
The Canadian Securities Administrators (CSA) is publishing for a 90-day comment period ending February 17, 2024, proposed amendments to: National Instrument 51-102 Continuous Disclosure Obligations (proposed amendments to NI 51-102) and proposed changes to: Companion...
by Barbara Hendrickson | Nov 12, 2024
The Ontario Securities Commission (OSC) recently published its Summary Report for Investment Fund and Structured Product Issuers (The Summary Report), which provides an overview of key activities undertaken by the Investment Management division in fiscal 2023-2024....
by Barbara Hendrickson | Nov 12, 2024
The Ontario Securities Commission (OSC) recently published OSC Consultation Paper 81-737 Opportunity to Improve Retail Investor Access to Long-Term Assets through Investment Fund Product Structures (The Consultation Paper). The Consultation Paper sets out a framework...
by Barbara Hendrickson | Nov 11, 2024
Toronto, November 11, 2024: BAX Securities Law is pleased to announce that the firm has resumed its sponsorship of the Toronto Business Lawyers Association (TBLA) networking and business development monthly meetings. Barbara Hendrickson, Managing Partner of BAX...
