by Barbara Hendrickson | Mar 30, 2020
The British Columbia government has declared the capital markets and its regulator, the British Columbia Securities Commission (BCSC), as essential services during the COVID-19 pandemic. In addition to the BCSC, the province has specifically identified the following...
by Barbara Hendrickson | Mar 30, 2020
The Mutual Fund Dealers Association of Canada (MFDA) is publishing for a 135 -day comment period proposed amendments to MFDA Policy No. 9 Continuing Education (CE) Requirements (The Amendments). The comment period ends August 10, 2020. The Amendments intend to...
by Barbara Hendrickson | Mar 25, 2020
TSX Venture Exchange (the “Exchange”) on March 23, 2020 has announced temporary blanket relief (the “Temporary Relief”) from certain provisions of the Exchange’s Corporate Finance Manual (the “Manual”) as described in more detail below. The Exchange is extending the...
by Barbara Hendrickson | Mar 23, 2020
Further to its announcement on March 18, the Canadian Securities Administrators (CSA) announced on March 23, 2020 a temporary blanket relief for market participants from certain regulatory filings, as a result of COVID-19. The blanket relief provides a...
by Barbara Hendrickson | Mar 20, 2020
The Canadian Securities Administrators (CSA) published a notice on March 19, 2020 warning investors about companies claiming to have products or services that will prevent, detect or cure coronavirus (COVID-19) infection. According to the notice fraudsters taking...
by Barbara Hendrickson | Mar 19, 2020
The Canadian Securities Administrators (CSA) announced on March 18, 2020 will provide temporary relief from some regulatory filings required to be made on or before June 1, 2020 in light of recent COVID-19 developments and their impact on market participants, The...
by Barbara Hendrickson | Mar 19, 2020
On March 6, 2020 the Financial Services Regulatory Authority of Ontario (FSRA) published a press release reminding FSRA regulated entities about their business continuity plans in light of the COVID – 19 disruption. FSRA suggested that entities regulated by FSRA...
by Barbara Hendrickson | Mar 19, 2020
The Canadian Securities Administrators (CSA) published for comment on March 5, 2020 proposed amendments designed outline how registrants can address situations involving diminished mental capacity or the potential financial exploitation of vulnerable clients. Under...
by Barbara Hendrickson | Mar 17, 2020
On March 16, 2020 the Canadian Securities Administrators (CSA) issued a press release which encourages reporting issuers to contact their principal regulator to discuss any potential effect of the current COVID-19 outbreak on their ability to comply with their...
by Barbara Hendrickson | Mar 15, 2020
The Canadian Securities Administrators (CSA) have issued CSA Staff Notice 43-310 Confidential Pre-File Review of Prospectuses (for non-investment fund issuers) (the Staff Notice). The Staff Notice expands the availability of confidential pre-file reviews that some CSA...
