News Updates
TSX Venture Exchange Publishes Update on Listed Issuer Financing Exemption
TSX Venture Exchange (TSX-V) recently published an update for members on the Canadian Securities Administrators’ (CSA) Listed Issuer Financing Exemption (the Exemption) (discussed in-depth here). The Exemption is designed to streamline the capital raising process for...
MFDA and IIROC Members Approve the Creation of a Single New SRO
The members of the Mutual Fund Dealers Association of Canada (MFDA) and the Investment Industry Regulatory Organization of Canada (IIROC) have passed a special resolution approving the amalgamation of the two self-regulatory organizations (SROs) into a new single SRO,...
Canadian Securities Regulators Propose Access-Based Model for Investment Fund Reporting Issuers
The Canadian Securities Administrators (CSA) has proposed a series of amendments that would provide an alternative to delivering financial statements and management reports of fund performance for investment fund reporting issuers (the Proposed Amendments). The...
Canadian Securities Regulators Initiate Review of Mutual Fund Securities Distribution through a Principal Distributor
The Canadian Securities Administrators (CSA) is reviewing the practices of mutual funds that have principal distributor relationships with registrants to distribute their securities. The goal of the review is to gauge whether additional updates to the mutual fund...
Toronto Stock Exchange Publishes Housekeeping Rule Amendments to the TSX Company Manual
On September 8th, 2022, the Toronto Stock Exchange (TSX) adopted certain housekeeping amendments (the Amendments) to TSX Company Reporting Form 2E -- Change in Transfer Agent & Registrar (Reporting Form 2E) and Reporting Form 5 -- Dividend/Distribution Declaration...
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