News Updates
CIRO Publishing Proposed Clarifying Amendments to Registration and Proficiency for Review and Comment
The Canadian Investment Regulatory Organization (CIRO), Canada’s national self-regulatory organization that oversees all investment dealers, mutual fund dealers and trading activity on Canada’s debt and equity marketplaces, is publishing for a comment (the Request for...
The Standing Committee on Industry and Technology Issues Report on Blockchain
The Ontario Securities Commission (OSC) has published OSC Staff Notice 33-752 – Summary Report for Dealers, Advisers and Investment Fund Managers (The Summary Report). The Summary Report describes the work conducted by the OSC’s Compliance and Registrant Regulation...
CSA Initiates Review of Exchange-Traded Funds
The Canadian Securities Administrators (CSA) is launching a review of exchange-traded funds (ETFs). ETFs are an increasingly popular investment vehicle, offering exposure to a variety of underlying assets and investment strategies, with intraday liquidity on the...
CSA Exempts Certain Filing Requirements During SEDAR+ Launch
Participating members of the Canadian Securities Administrators (CSA) will be issuing exemptions from certain filing requirements (the blanket orders) to cover the brief period before the System for Electronic Document Analysis and Retrieval (SEDAR) will be switched...
Canadian Securities Regulators Outline Expectations for Investment Funds Holding Crypto Assets
The Canadian Securities Administrators (CSA) has published CSA Staff Notice 81-336 Guidance on Crypto Asset Investment Funds that are Reporting Issuers (the Staff Notice), which provides guidance to help fund managers understand and comply with securities law...
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