by Barbara Hendrickson | Oct 4, 2022
The members of the Mutual Fund Dealers Association of Canada (MFDA) and the Investment Industry Regulatory Organization of Canada (IIROC) have passed a special resolution approving the amalgamation of the two self-regulatory organizations (SROs) into a new single SRO,...
by Barbara Hendrickson | Sep 29, 2022
The Canadian Securities Administrators (CSA) has proposed a series of amendments that would provide an alternative to delivering financial statements and management reports of fund performance for investment fund reporting issuers (the Proposed Amendments). The...
by Barbara Hendrickson | Sep 29, 2022
The Canadian Securities Administrators (CSA) is reviewing the practices of mutual funds that have principal distributor relationships with registrants to distribute their securities. The goal of the review is to gauge whether additional updates to the mutual fund...
by Barbara Hendrickson | Sep 13, 2022
On September 8th, 2022, the Toronto Stock Exchange (TSX) adopted certain housekeeping amendments (the Amendments) to TSX Company Reporting Form 2E — Change in Transfer Agent & Registrar (Reporting Form 2E) and Reporting Form 5 — Dividend/Distribution...
by Barbara Hendrickson | Sep 13, 2022
On September 8, 2022, The Canadian Securities Administrators (CSA) announced that it was adopting the Listed Issuer Financing Exemption (the new prospectus exemption). Developed for smaller issuers listed on a Canadian stock exchange, it will provide a more efficient...
by Barbara Hendrickson | Aug 23, 2022
The Ontario Securities Commission (the OSC) through its Innovation Office, will provide exemptive relief (the exemption) to Franctionvest Inc. (Franctionvest), an Ontario corporation from the requirement to register under Ontario securities legislation to conduct a...
by Barbara Hendrickson | Aug 18, 2022
On August 15, 2022, the Ontario Securities Commission (OSC) the published the first pre-registration undertakings filed by crypto currency trading platforms Coinsquare Capital Markets Ltd. and Crypto.com (the platforms). The undertakings provided by the platforms to...
by Barbara Hendrickson | Aug 5, 2022
The Alberta Securities Commission (ASC) and the Financial and Consumer Affairs Authority of Saskatchewan (FCAA) have amended the self-certified investor prospectus exemption in response to market feedback to provide greater flexibility to businesses and investors in...
by Barbara Hendrickson | Aug 5, 2022
Amid the continuing challenges posed by climate change, The Chartered Professional Accountants of Canada (CPA Canada) has published its guide for audit committees in their oversight of climate change, Climate Change – A Role for Audit Committees (the Guide). The Guide...
by Barbara Hendrickson | Jul 12, 2022
The Canadian Securities Administrators (CSA) have published 2022-2025 CSA Business Plan (The Business Plan). The Business Plan, approved on June 9, 2022, sets out the priorities that the CSA has committed to pursue collaboratively over the next three years. The...
