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Searching Content by Darin Renton from Stikeman Elliott LLP ordered by Published Date Descending.
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1
La CVMO propose d'améliorer les rapports annuels sur les coûts par l'intermédiaire des perspectives comportementales
Le 19 août 2019, la Commission des valeurs mobilières de l'Ontario (CVMO) a publié un rapport (le rapport de 2019)
Canada
24 Oct 2019
2
La CVMO propose d'améliorer les rapports annuels sur les coûts par l'intermédiaire des perspectives comportementales
Le 19 août 2019, la Commission des valeurs mobilières de l'Ontario (CVMO) a publié un rapport (le rapport de 2019)
Canada
5 Sep 2019
3
Nouveau mode d'inscription à la TSX : l'initiative Sandbox rend officiellement possible l'exercice par le personnel de son pouvoir discrétionnaire d'assouplir certaines exigences
La TSX, principale bourse du Canada, a dévoilé dernièrement « TSX Sandbox », initiative qui constituera une solution de rechange à l'inscription en bourse ou à l'inscription d'autres titres par les émetteurs inscrits...
Canada
17 May 2019
4
A New Route To Listing On The TSX: Sandbox Initiative Paves A Formalized Route For Staff Discretion To Relax Certain Requirements
Canada's principal stock exchange, the TSX, recently unveiled the "TSX Sandbox", an initiative that will provide an alternative path to a stock exchange listing or listing of other securities by existing listed issuers for certain qualifying companies.
Canada
16 May 2019
5
IIROC Best Execution Amendments And Guidance
On July 6, 2017, the IIROC published final amendments to the Universal Market Integrity Rules and the Dealer Member Rules related to best execution requirements which will come into effect on January 2, 2018.
Canada
4 Aug 2017
6
NI 31-103 Amendments: EMDs Banned From Prospectus Offerings
Under a series of amendments to National Instrument 31-103 – Registration Requirements, Exemptions and Ongoing Registrant Obligations published on July 27, 2017, the CSA have banned exempt market dealers ...
Canada
4 Aug 2017
7
OSC 2017 Annual Report For Registrants: 10 Take-aways
The Report cautions firms that they are responsible for deficiencies in individual registration forms.
Canada
27 Jul 2017
8
IIROC Proposed Amendments To Client ID and Verification Requirements: The Argument For Red Tape Reduction
On July 6, 2017, IIROC published for comment IIROC Notice 17-0139 Proposed Amendments to Client Identification and Verification Requirements.
Canada
19 Jul 2017
9
Regulating The Regulators: IIROC 2016 Report Card Released
The IIROC is the national self-regulatory organization (SRO) that oversees all investment dealers, as well as trading activity on debt and equity marketplaces in Canada.
Canada
19 Jul 2017
10
ASC Exempt Market Dealer Sweep Prompts Best Practice Guidance
The Alberta Securities Commission (ASC) recently completed a compliance "sweep" of 66 Alberta-based exempt market dealers (EMDs).
Canada
2 Jun 2017
11
CSA Sweep Uncovers Small Firm Business Continuity Plan Deficiencies
The Canadian Securities Administrators (CSA) recently released the results of a compliance review focused on sole proprietorships and other firms with just one registered individual.
Canada
31 May 2017
12
CSA Reconsider As Industry Takes Aim At Targeted Reforms
On May 11, 2017, the CSA published CSA Staff Notice 33-319 Status Report on CSA Consultation Paper 33-404 Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives Toward Their Clients.
Canada
15 May 2017
13
Red Tape Reduction For Funds And Managers Among OSC's Priorities
Initiatives of interest to funds and managers feature prominently in the Ontario Securities Commission's 2017-2018 Draft Statement of Priorities.
Canada
9 May 2017
14
Mutual Funds To Settle T+2
A conventional mutual fund is a mutual fund that offers securities in continuous distribution under a simplified prospectus in accordance with National Instrument 81-101 Mutual Fund Prospectus Disclosure.
Canada
9 May 2017
15
Red Tape Reduction For Funds And Managers Among OSC's Priorities
It was published on March 23, 2017, with a 60 day comment period as noted below.
Canada
5 May 2017
16
Statutory Best Interest Standard: Summer Reading
The Canadian Securities Administrators (CSA) recently issued advance notice of the upcoming publication of CSA Consultation Paper 33-404 – Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives Toward Their Clients expected in late April 2016.
Canada
19 Apr 2016
17
Common Reporting Standard: Considerations For Managers And Funds
In this installment of our analysis of the OECD's Common Reporting Standard (CRS), we address practical considerations for affected Canadian investment funds.
Canada
11 Mar 2016
18
Crowdfunding Exemption Launched
Issuers in Canada seeking financing on a prospectus exempt basis now have an additional means of raising capital.
Canada
2 Feb 2016
19
IIROC Proposes Allowing Directed Commissions And Representatives Restricted To Selling Mutual Funds And ETFs
On November 25, 2015, the Investment Industry Regulatory Organization of Canada (IIROC) published a white paper proposing changes on two fundamental issues on the business operations of registered dealers and representatives.
Canada
30 Dec 2015
20
Financial Statement Filing Relief Featured In December 2015 Edition Of Investment Funds Practitioner
In the December 2015 edition of The Investment Funds Practitioner, the Ontario Securities Commission (OSC) Investment Funds and Structured Products Branch reviews a number of recent issues...
Canada
30 Dec 2015
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