by Barbara Hendrickson | Aug 11, 2020
The Canadian Securities Administrators (CSA) recently published final amendments that substantially harmonize the regulatory framework for syndicated mortgages in Canada. These final amendments will: remove the prospectus and registration exemptions that currently...
by Barbara Hendrickson | Aug 11, 2020
The Canadian Securities Administrators (CSA) recently published their Oversight Report (the Report) regarding the Investment Industry Regulatory Organization of Canada (IIROC). The report, written by CSA staff, looks at whether IIROC has complied with the terms...
by Barbara Hendrickson | Jul 6, 2020
July 2, 2020 staff of the Canadian Securities Administrators (CSA) issued a notice (Notice) setting out guidance regarding the registration requirements for chief compliance officers (CCOs) under National Instrument 31-103 Registration Requirements, Exemptions and...
by Barbara Hendrickson | Jul 2, 2020
The Canadian Securities Administrators (CSA) on June 30, 20 released an interim progress reports on initiatives published in its CSA 2019-2022 Business Plan, which sets out the priorities of its members over the course of the next three-year period. The progress...
by Barbara Hendrickson | Jun 24, 2020
On June 11, 2020 the Ontario Securities Commission (OSC) published report on a review conducted OSC Staff, of the crypto asset trading platform QuadrigaCX (Quadriga). The collapse of Quadriga in 2019 caused massive losses for 76,000 investors from Canada and around...
by Barbara Hendrickson | Jun 24, 2020
On June 23, 2020, the Canadian Securities Administrators (CSA) released its fiscal year 2019/20 Enforcement Report which outlines how securities regulators are protecting investors and the integrity of Canada’s capital markets. Highlights from the fiscal...
by Barbara Hendrickson | Jun 11, 2020
On June 9, 2020 the Investment Industry Regulatory Organization of Canada (IIROC) released its proposal, “Improving Self-Regulation for Canadians”, outlining the benefits of bringing together IIROC and the Mutual Fund Dealers Association of Canada (MFDA)...
by Barbara Hendrickson | Jun 11, 2020
On June 10, 2010 the Canadian Securities Administrators (CSA) announced steps to facilitate portfolio managers’ use of client relationship management specialists. These actions aim to better align the CSA’s assessment of relevant investment management experience with...
by Barbara Hendrickson | Jun 8, 2020
The Canadian Securities Administrators published on June 4, 2020 final amendments that streamline at-the-market (ATM) distributions in Canada, and reduce regulatory burden for issuers, exchanges and investment dealers. ATM distributions will now be available...
