by Barbara Hendrickson | Dec 12, 2023
The Canadian Securities Administrators (CSA) has published the results of its 2023 Systemic Risk Survey (the Survey). This annual Survey, first conducted in 2022, provides the CSA with important information on market participants’ concerns about the stability of the...
by Barbara Hendrickson | Dec 8, 2023
The Canadian Securities Administrators (CSA) has published proposed amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (NI 31-103) (the Proposed Amendments) as well as proposed changes to Companion Policy...
by Barbara Hendrickson | Nov 23, 2023
The Ontario Securities Commission (OSC) is publishing for a 90-day comment period ending February 7, 2024, proposed amendments (Proposed 13-502 Amendments) to OSC Rule 13-502 Fees (the Fee Rule), published in Annex A; and proposed amendments (the Proposed 13-503...
by Barbara Hendrickson | Nov 23, 2023
The Financial Transactions and Reports Analysis Centre of Canada (FINTRAC) has issued new Anti-Money Laundering Requirements (AML) for Mortgage Administrators, Brokers, and Lenders. The new AML requirements will become effective on October 11, 2024. As of October 11,...
by Barbara Hendrickson | Nov 19, 2023
The Canadian Securities Administrators (CSA) and the Canadian Investment Regulatory Organization (CIRO) have published a summary of responses and comments to CSA/IIROC Staff Notice 23-329 Short Selling in Canada (The Joint Staff Notice). In December 2022, the CSA and...
by Barbara Hendrickson | Oct 31, 2023
On October 26th, the Canadian the Public Accountability Board (CPAB), the Office of the Superintendent of Financial Institutions (OSFI) and the Canadian Securities Administrators (CSA) co-hosted the Canadian Audit Quality Roundtable in Toronto. The annual Roundtable,...
by Barbara Hendrickson | Oct 30, 2023
The Canadian Securities Administrators (CSA) and the Canadian Investment Regulatory Organization (CIRO) have jointly published CSA/CIRO Staff Notice 23-331 Request for Feedback on December 2022 SEC Market Structure Proposals and Potential Impact on Canadian Capital...
by Barbara Hendrickson | Oct 30, 2023
The Canadian Security Administrators (CSA) and the Canadian Investment Regulatory Organization (CIRO) have jointly published Staff Notice 31-364 – OBSI Joint Regulators Committee Annual Report for 2022 (The Staff Notice). The Staff Notice serves as the Annual...
by Barbara Hendrickson | Oct 13, 2023
BAX Securities Law webinar series on the regulation of crypto currencies in Canada Please join Barbara Hendrickson and Addison Cameron-Huff on November 3, 2023 at 12:00 PM EST for a webinar to discuss the evolving Canadian regulatory landscape for Value-Referenced...
by Barbara Hendrickson | Oct 12, 2023
The Ontario Securities Commission (OSC) has published a report, Artificial Intelligence in Capital Markets: Exploring the Use Cases in Ontario (the Report), exploring the use of artificial intelligence (AI) in Ontario’s capital markets. The Report highlights current...
