With
Andrew Armstrong,
Cristian Blidariu,
Neha Chawla,
Robert Hansen,
Sharon J. Kretchmar,
Angela Lizotte,
Wendi Locke,
Andrew Parker,
Canadian Securities Regulatory Monitor,
Sean Sadler,
Rene Sorell
On July 19, 2018, the Canadian Securities Administrators ("CSA") published final amendments (the "Amendments") to National Instrument 45-106 - Prospectus Exemptions ("NI 45-106") ...
With
Cristian Blidariu,
Canadian Securities Regulatory Monitor,
Sean Sadler,
Rene Sorell
The CSA will still proceed with a refined set of Targeted Reforms.
With
Andrew Armstrong,
Michael Eldridge,
Sean Sadler
On September 22, 2016, the Canadian Securities Administrators (the "CSA") published CSA Notice and Request for Comment – Modernization of Investment Fund Product Regulation...
With
Cristian Blidariu,
CyberLex Blog,
Sean Sadler,
Rene Sorell
The report cards were generated based on the results of an extensive assessment survey that Firms completed in June 2016.
With
Cristian Blidariu,
Alexandra Cocks,
Renee Reichelt,
Sean Sadler,
Rene Sorell,
Sonia Struthers
Les commentaires sur ce document de consultation peuvent être présentés jusqu'au 26 août.
With
Cristian Blidariu,
Sean Sadler,
Rene Sorell
The OSC uses data gathered through the RAQ to apply a risk ranking to firms. Firms with higher risk rankings are more likely to be targeted by the OSC for compliance reviews.
With
Cristian Blidariu,
Alexandra Cocks,
Renee Reichelt,
Sean Sadler,
Rene Sorell,
Sonia Struthers
Recently, the Canadian Securities Administrators (CSA) released an important Consultation Paper that proposes to significantly increase the obligations of all advisers, dealers and representatives...
With
Cristian Blidariu,
Sean Sadler,
Rene Sorell
The Canadian Securities Administrators (CSA) are proposing to introduce a mandatory standardized risk classification methodology for mutual funds and ETFs (the Proposed Methodology).
With
Cristian Blidariu,
Sean Sadler,
Rene Sorell
Securities regulators in Ontario, Québec, Alberta and British Columbia have entered into supervisory Memorandums of Understanding with financial regulators of certain European countries.
With
Cristian Blidariu,
Sean Sadler,
Rene Sorell
The OSC has recently published Staff Notice 81-720 - Report on Staff's Continuous Disclosure Review of Sales Communications by Investment Funds.
With
Cristian Blidariu,
Sean Sadler,
Rene Sorell
The CSA published Staff Notice 31-334 –CSA Review of Relationship Disclosure Practices.
Section 16.6(1) of NI 31-103 provides that the investment fund manager registration requirement does not apply to a non-resident that is acting as an investment fund manager.
With
Peter Luciano,
Rene Sorell
On June 20, 2012, the Canadian Securities Administrators (CSA) published the latest in a series of over-the-counter derivatives consultation papers.
With
Sean Sadler,
Sonia Struthers
The purpose of this paper is to provide a non-resident of Canada with an overview of the dealer registration, adviser registration, investment fund manager registration and prospectus requirements that should be considered and addressed by the non-resident before it begins to trade securities.
With
Gary Litwack
We have recently obtained separate exemptions for clients relating to the offering of derivatives to Canadian investors.
