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Searching Content by Cristian Blidariu from McCarthy Tétrault LLP ordered by Published Date Descending.
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1
CSA Published Guidance On Expectations For Compliance Consultants Performing Regulatory Mandates
On August 22, the Canadian Securities Administrators (CSA) issued guidance for regulated securities firms such as portfolio managers
Canada
28 Aug 2019
2
IIROC Proposes Significant Changes To Continuing Education Rules
Each CE requirement may be met by taking one course, or a series of eligible courses.
Canada
9 Aug 2019
3
Foresight 2020: IIROC Publishes Its Priorities For Fiscal 2020
Recently, the Investment Industry Regulatory Organization of Canada (IIROC) published its regulatory priorities for fiscal 2020 and a three-year strategic plan.
Canada
21 Jun 2019
4
IIROC Releases Its Annual Enforcement Report For 2018
Earlier this month, the Investment Industry Regulatory Organization of Canada ("IIROC") published its annual Enforcement Report for 2018 (the "Report"),
Canada
18 Jun 2019
5
FINTRAC And IIROC Strengthen Information Sharing With Enhanced Memorandum Of Understanding
On May 30, 2019, the Financial Transactions and Reports Analysis Centre of Canada (FINTRAC) and the Investment Industry Regulatory Organization of Canada (IIROC)
Canada
14 Jun 2019
6
Reducing Regulatory Burden - Highlights From The OSC's Third And Final Roundtable
As discussed in our recent posting, the Ontario Securities Commission (OSC) has identified regulatory burden reduction as one of its key priorities for the coming year
Canada
14 Jun 2019
7
Securities Regulators Pursuing Disgorgement Orders In Other Jurisdictions
The British Columbia Securities Commission ("BCSC") reported earlier this month that its $21.7 million disgorgement order against Michael Lathigee was recognized by a court in Nevada where
Canada
12 Jun 2019
8
CSA To Reboot Electronic Document Filing Systems Starting In 2021
The Canadian Securities Administrators (CSA) are proposing to replace CSA national systems starting in 2021 with a more centralized CSA IT system (the 2021 System).
Canada
31 May 2019
9
Takeaways From The OSC's Second Roundtable On Reducing Regulatory Burden
As discussed in our recent posting, the Ontario Securities Commission (OSC) has identified regulatory burden reduction as one of its key priorities for the coming year.
Canada
28 May 2019
10
IIROC Advances Two New Forms Of Disciplinary Action
In a recent Notice, the Investment Industry Regulatory Organization of Canada (IIROC) announced that it proposes to move forward with two new disciplinary programs that were first published for public comment last year:
Canada
14 May 2019
11
Reducing Regulatory Burden – Highlights From The OSC's First Roundtable
The Ontario Securities Commission (OSC) has identified regulatory burden reduction as one of its key priorities for the coming year.
Canada
2 May 2019
12
OSC's $7.5 Million Whistleblower Awards A First For Canada
The OSC announced this week that it has awarded a total of $7.5 million to three whistleblowers on separate matters. These awards are the first of their kind ...
Canada
12 Mar 2019
13
IIROC Publishes Its Annual Compliance Priorities Report For 2018/2019
On January 15, 2019, the Investment Industry Regulatory Organization of Canada ("IIROC") published its annual Compliance Priorities Report for 2018/2019.
Canada
7 Feb 2019
14
La Constitutionalité Du Régime Coopératif De Réglementation Des Marchés Des Capitaux Est Confirmée Par La Cour Suprême Du Canada
La Cour suprême du Canada a confirmé la constitutionnalité du projet pancanadien de régime coopératif de réglementation des marchés des capitaux (RCRMC).
Canada
19 Nov 2018
15
La Cour suprême rendra jugement cette semaine sur l'organisme national coopératif de réglementation des valeurs mobilières
La Cour suprême rendra jugement cette semaine sur l'organisme national coopératif de réglementation des valeurs mobilières.
Canada
13 Nov 2018
17
Supreme Court To Render Judgment On Cooperative National Securities Regulator This Week
The Supreme Court of Canada is expected to render on Friday its highly anticipated judgment regarding the constitutionality of the proposed cooperative pan-Canadian securities regulator,
Canada
9 Nov 2018
18
Les personnes inscrites font face à des obligations fort accrues en vertu des modifications réglementaires proposées par les ACVM
Récemment, les Autorités canadiennes en valeurs mobilières (ACVM) ont publié aux fins de commentaires d'importantes modifications ...
Canada
17 Sep 2018
19
Registrants Face Significantly Increased Obligations Under Proposed CSA Rule Amendments
Recently, the Canadian Securities Administrators (CSA) published for comment important rule amendments to National Instrument 31-103 Registration Requirements, Exemptions & Ongoing Registrant Obligations ...
Canada
3 Aug 2018
20
CSA Amendments To Simplify Reports Of Exempt Distribution
On July 19, 2018, the Canadian Securities Administrators ("CSA") published final amendments (the "Amendments") to National Instrument 45-106 - Prospectus Exemptions ("NI 45-106") ...
Canada
3 Aug 2018
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