With
Rebecca Cowdery,
Carol Derk,
Ronald Kosonic,
Stephen Robertson
Overall, the amendments are a breath of fresh air in a regulatory environment that has become increasingly restrictive.
With
Rebecca Cowdery
Under new rules finalized by the Canadian Securities Administrators (CSA) on December 8, 2016, Canadian fund managers must adopt by September 1, 2017...
With
Lynn McGrade
On June 25, 2015, the Ontario Securities Commission (the OSC) issued OSC Staff Notice 81-727 Report on Staff's Continuous Disclosure Review of Mutual Fund Practices Relating to Portfolio Liquidity.
With
Lynn McGrade
On June 25, 2015, the Ontario Securities Commission (the OSC) issued OSC Staff Notice 81-727 Report on Staff's Continuous Disclosure Review of Mutual Fund Practices Relating to Portfolio Liquidity.
With
Rebecca Cowdery,
Ronald Kosonic,
Michael Taylor,
Michael Waters
Life Science companies in Canada are very interested in securities law related to access of capital from the exempt market (eg. accredited investors).
With
Rebecca Cowdery,
Michael Taylor,
Michael Waters
The CSA recently finalized and released important amendments to National Instrument 45-106 Prospectus and Registration Exemptions as well as the Companion Policy to NI 45-106 and other related instruments.
With
Rebecca Cowdery,
Ronald Kosonic,
Michael Taylor,
Michael Waters
The increased pace of regulatory change experienced over the last few years appears poised to continue during 2015, along with the Canadian Securities Administrators’ (CSA) focus on enhancing protections for retail investors.
With
Rebecca Cowdery,
Kathryn Fuller,
John Hall,
Lynn McGrade
Starting May 30, 2016, investors will only be able to complete their purchase of a Canadian mutual fund, subject to limited exceptions, after their advisor provides them with the Fund Facts document of the particular class or series they are investing in.
With
Rebecca Cowdery,
Kathryn Fuller,
John Hall
The CSA published for comment revised proposed rules that would require all dealers trading in public mutual funds to give clients the specific Fund Facts.
With
Rebecca Cowdery,
John Hall
The long-awaited "Stage 2" package of reforms that apply to mutual fund "point of sale" disclosure has now been finalized by the Canadian Securities Administrators and the rule amendments are expected to come into effect on September 1, 2013.
With
Eric Lapierre
In late June, the Canadian Securities Administrators (CSA) published for a second comment period proposed amendments to National Instrument 81-101 and its companion policy.
With
Jason Brooks,
Kathryn Fuller,
John Hall,
Lynn McGrade,
Anick Morin
On February 24, 2011, the Canadian Securities Administrators published CSA Staff Notice 81-321 "Early Use of the Fund Facts to Satisfy Prospectus Delivery Requirements" available here, which clearly signals the CSA’s willingness to permit post-trade delivery of Fund Facts documents for mutual funds in lieu of the simplified prospectus.
With
Rebecca Cowdery,
Kathryn Fuller,
Jennifer Wilson
The Canadian Securities Administrators recently published a status report regarding the expected implementation of the point of sale disclosure initiative for public mutual funds.
With
Rebecca Chan,
Andrew Harrison,
Stephen Redican
The Office of the Superintendent of Financial Institutions (Canada) ("OSFI") has published a ruling that BLG obtained for one of its foreign bank clients that confirms that a Canadian entity that provides back office services to a foreign portfolio manager does not carry on a financial services business within the foreign bank regulation context (the "Ruling").
With
K. Ruth Liu
The Mortgage Brokerages, Lenders and Administrators Act, 2006 (Ontario) (the "Current Act") came into effect on July 1, 2008, at which time the Mortgage Brokers Act (Ontario) (the "Previous Act") was repealed.
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