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Searching Content indexed under Finance and Banking by Cristian Blidariu ordered by Published Date Descending.
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1
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
2
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
3
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
4
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
5
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
6
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
7
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
8
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
9
Ontario Budget 2018: Financial Services Updates
Ontario's Minister of Finance, Charles Sousa, tabled the government's pre-election fiscal plan on Wednesday, March 28, 2018, the 2018 Ontario Budget: A Plan for Care and Community.
Canada
30 Apr 2018
11
CSA Sets Out Priorities For 2016-2019
The CSA states its strategic objectives without once mentioning the possible impact on it of the proposed national Cooperative Capital Markets Regulatory Authority (CCMRA) some of its members support.
Canada
25 Aug 2016
12
Tomorrow, May 18, Registrants Will Receive The OSC's 2016 Risk Assessment Questionnaire – What Will Your Firm's Risk Rating Be?
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.
Canada
24 May 2016
13
OSC Sets Out Priorities For 2016-2017
The Ontario Securities Commission (OSC) released its draft Statement of Priorities for 2016-2017. The comment period ends May 9th.
Canada
28 Apr 2016
14
The CSA Proposes Mandatory Standardized Risk Classification Methodology For Mutual Funds And ETFs
The Canadian Securities Administrators (CSA) are proposing to introduce a mandatory standardized risk classification methodology for mutual funds and ETFs (the Proposed Methodology).
Canada
16 Dec 2015
15
Canadian Securities Law News: Canadian Securities Regulators Enter Into Supervisory Cooperation Arrangements With European Financial Regulators
Securities regulators in Ontario, Québec, Alberta and British Columbia have entered into supervisory Memorandums of Understanding with financial regulators of certain European countries.
Canada
2 Aug 2013
16
OSC Issues Report On Continuous Disclosure Review Of Investment Fund Sales Communications
The OSC has recently published Staff Notice 81-720 - Report on Staff's Continuous Disclosure Review of Sales Communications by Investment Funds.
Canada
29 Jul 2013
17
Investment Fund Amendments Would Bring Sweeping Changes To Closed-End Fund Regime
Recently, the Canadian Securities Administrators released proposed amendments to National Instrument 81-102 – Mutual Funds.
Canada
30 Apr 2013
18
Proposed Changes To Early Warning Reporting System Address Market Transparency And Shareholder Activism In Canada
Under Canada’s early warning reporting system, investors holding 10% or more of a public company’s voting securities must publicly report their ownership levels.
Canada
25 Mar 2013
19
IIROC Guidance Distinguishes Compliance From Supervision
In the wake of a disciplinary panel's reasons given in 2012 in Re Northern Securities, the Investment Industry Regulatory Organization of Canada has issued fresh guidance on the compliance and supervision responsibilities of IIROC-regulated personnel.
Canada
1 Mar 2013
20
The CSA And The IIROC Unveil Rules For Dark Marketplaces
Canada has marketplaces, both "lit" and "dark", where equity securities are traded.
Canada
4 May 2012
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