On June 6, 2022, pursuant to section 143.4 of the Securities Act (Ontario), amendments to the following rules came into force: National Instrument 33-109 Registration Information (NI 33-109), and National Instrument 31-103 Registration Requirements, Exemptions…
Members of the Canadian Securities Administrators (CSA) recently published for comment for a five-month period ending October 7, 2022, a set of proposals (the Proposed Amendments) designed to streamline and internationally harmonize over-the-counter derivatives data…
The TSX Venture Exchange (TSX-V) has published a bulletin to issuers reminding them that the 2022 annual sustaining fees were due and payable March 31, 2022. In the bulletin, TSX-V staff note that late payment…
The Ontario Securities Commission (OSC) recently announced that seven businesses that will be part of its new capital markets testing environment, OSC TestLab. This initiative allows businesses to test solutions that can help Ontario registrants…
The Canadian Securities Administrators (CSA) and the Canadian Council of Insurance Regulators (CCIR) recently published proposals that would enhance total cost reporting for investment funds and segregated funds (The Proposed Changes). The Proposed Changes aim to improve…
The Canadian Securities Administrators (CSA) have published CSA Staff Notice 25-303 2021 CSA Annual Activities Report on the Oversight of the Self-Regulatory Organizations (SROs) and Investor Protection Funds (IPFs) (The Report). The Report summarizes CSA…
The British Columbia Securities Commission (BCSC)’s most recent Compliance Report Card of investment dealers and advisers reflects the past year’s focus on marketing materials these firms use to attract and retain clients. The Report Card highlights…
The Canadian Securities Administrators (CSA) recently published changes to harmonize the interpretation of the financial statement requirements for a long-form prospectus, such as in an issuer’s initial public offering (IPO) (the changes). Specifically, the changes…
The Investment Industry Regulatory Organization of Canada (IIROC) has republished, for public comment for a period ending June 13, 2022, proposed amendments to the IIROC Rules (the Proposed Amendments). The goal of the Proposed Amendments…
The Canadian Securities Administrators (CSA) has published for comment a series of proposed amendments and proposed changes to implement an access equals delivery model for non-investment fund reporting issuers (the Proposed Amendments). The comment period…