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Latest British Columbia Securities Commission Compliance Report Card Reveals Continuing Problems with Issuer’s Marketing Materials
The British Columbia Securities Commission (BCSC)’s most recent Compliance Report Card of investment dealers and advisers reflects the past year’s focus on marketing materials these firms use to attract and retain clients. The Report Card highlights several recurring...
Canadian Securities Administrators move to Further Reduce Regulatory Burden
The Canadian Securities Administrators (CSA) recently published changes to harmonize the interpretation of the financial statement requirements for a long-form prospectus, such as in an issuer’s initial public offering (IPO) (the changes). Specifically, the changes...
Investment Industry Regulatory Organization of Canada (IIROC) Republishes Proposed Amendments Respecting the Derivatives Rule Modernization, Stage 1 – Request for Comment
The Investment Industry Regulatory Organization of Canada (IIROC) has republished, for public comment for a period ending June 13, 2022, proposed amendments to the IIROC Rules (the Proposed Amendments). The goal of the Proposed Amendments (previously published in...
Canadian Securities Administrators Request Comment on Proposed Access Equals Delivery Model for Non-Investment Fund Reporting Issuers
The Canadian Securities Administrators (CSA) has published for comment a series of proposed amendments and proposed changes to implement an access equals delivery model for non-investment fund reporting issuers (the Proposed Amendments). The comment period will last...
Canada Climate Law Initiative (CCLI) Releases Response to proposed National Instrument 51-107 Disclosure of Climate-related Matters
The Canada Climate Law Initiative (CCLI) today released a report summarizing the 131 submissions the lobby group made to the Canadian Securities Administrators (CSA) on the proposed National Instrument 51-107 Disclosure of Climate-related Matters (NI 51-107)....
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