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1
Reducing Regulatory Burden For Investment Fund Issuers
On September 12, 2019, the CSA published a Notice of Consultation: Reducing Regulatory Burden for Investment Fund Issuers - Phase 2, Stage 1, for a 90-day comment period, which proposes draft amendments aimed at ...
Canada
27 Sep 2019
2
Recent Developments in Private Equity And Fund Formation - The Institutional Limited Partners Association Publishes ILPA Principles 3.0
The Institutional Limited Partners Association ("ILPA") is a global organization, founded in 1990, exclusively dedicated to advancing the interests and maximizing the performance of limited partners.
Canada
13 Sep 2019
3
Regulatory Burden Reduction For Pooled Fund Managers
On June 11, 2019, the Ontario Securities Commission (the "OSC") published Revised Approval 81-901 Mutual Fund Trusts: Approval of Trustees Under Clause 213(3)(b) of the Loan and Trust Corporations Act ...
Canada
21 Aug 2019
4
OSC LaunchPad – Annual Summary Report
The Ontario Securities Commission released OSC Staff Notice 33-749 Annual Summary Report for Dealers, Advisers and Investment Fund Managers on August 23, 2018 (Staff Notice).
Canada
25 Sep 2018
5
OSC Staff Notice Comments On Fund Manager Oversight Of Related Party Service Providers
The Ontario Securities Commission released OSC Staff Notice 33-749 – Annual Summary Report for Dealers, Advisers and Investment Fund Managers on August 23, 2018 (OSC Staff Notice).
Canada
5 Sep 2018
6
ETF Facts – Upcoming Transition Date
Exchange-traded fund (ETF) managers are reminded that, as of September 1, 2017, they will be required to file an "ETF Facts" document in conjunction with the filing of any ETF prospectus
Canada
24 Aug 2017
7
Sale Of ETFs – Proficiency Standards Approved
Last month, provincial securities regulators approved Policy No. 8 (Policy) of The Mutual Fund Dealers Association of Canada (MFDA).
Canada
18 Aug 2017
8
SC Staff Notice 33-741 – Report On The Results Of The Reviews Of Capital Markets Participation Fees
The Form 13-502F4 Capital Markets Participation Fee Calculation (F4) must be filed on December 1 each year by all registered firms, unregistered investment fund managers, and firms operating under the exemptions available in sections 8.18 and 8.26 of NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations.
Canada
22 Aug 2013
9
CSA Release Proposals Under Phase 2 Of Fund Modernization Project – Implications For Closed End Funds And Alternative Funds
This review is part of the Fund Modernization Project, a mandate of the CSA to consider whether product and market developments in the Canadian investment fund industry are being adequately addressed by the current regulatory regime.
Canada
12 Jun 2013
10
CSA Consultation On Mutual Fund Fees - What's At Stake?
In December 2012, the Canadian Securities Authorities published Discussion Paper and Request for Comment 81-407 Mutual Fund Fees.
Canada
9 Apr 2013
11
CSA Consultation On Mutual Fund Fees - What’s At Stake?
In December 2012, the Canadian Securities Authorities (CSA) published Discussion Paper and Request for Comment 81-407 Mutual Fund Fees (the "paper"), a document containing a detailed description of the methods used to charge fees to mutual fund holders initially and on an ongoing basis in Canada and comparing these methods to the ones used in the United States, England and Australia.
Canada
6 Apr 2013
12
OSC Staff Notice 81-717 - Report On Staff’s Continuous Disclosure Review Of Portfolio Holdings By Investment Funds
On August 2, 2012, the Ontario Securities Commission issued Staff Notice 81-717 Report on Staff's Continuous Disclosure Review of Portfolio Holdings by Investment Funds.
Canada
6 Sep 2012
13
Registration Requirements For Non-Resident Investment Fund Managers
On February 10, 2012, the securities regulatory authority in each of Ontario, Quebec, New Brunswick and Newfoundland and Labrador (the "MI 31-102 Jurisdictions") published for comment proposed Multilateral Instrument 32-102 Registration Exemptions for Non-Resident Investment Fund Managers (MI 32-102) and its related Companion Policy.
Canada
14 May 2012
14
Canada
21 Mar 2012
15
Mutual Funds Point-Of-Sale Regime: Moving To Stage 2
On August 12, 2011, the Canadian Securities Administrators (CSA) published for comment proposed amendments (Stage 2 Amendments) to National Instrument 81-101 Mutual Fund Prospectus Disclosure to implement Stage 2 of the point-of-sale (POS) disclosure regime.
Canada
4 Oct 2011
16
Amendments To The Prospectus Rules
On July 15, 2011, the Canadian Securities Administrators (CSA) published a Notice and Request for Comment in respect of proposed amendments to National Instrument (NI) 41-101 General Prospectus Requirements, NI 44-101 Short Form Prospectus Distributions, NI 44-102 Shelf Distributions, together with the companion policies in respect of the foregoing instruments, and NI 81-101 Mutual Fund Prospectus Disclosure (Prospectus Rules).
Canada
16 Aug 2011
17
OSC Staff Releases Fifth Edition Of The Investment Funds Practitioner Guide
On May 16, 2011, staff at the Ontario Securities Commission ("Staff") released the fifth edition of "The Investment Funds Practitioner Guide" (the "Practitioner").
Canada
21 Jun 2011
18
Investing In Canada - US Pension and Endowment Funds
Canada is an appealing investment destination for US pension and endowment funds.
Canada
 
28 Apr 2010
19
Canadian Securities Administrators Release Staff Notice 31-315 Regarding Orders Exempting Registrants From Certain Provisions Of National Instrument 31-103 - Registration Requirements And Exemptions
The Canadian Securities Administrators ("CSA") released Staff Notice 31-315 on February 26, 2010. Since the coming into force of National Instrument 31-103 Registration Requirements and Exemptions (NI 31-103), the CSA have received applications requesting exemptions from certain provisions of the Instrument.
Canada
11 Mar 2010
20
CSA Publishes Final Version Of National Instrument Regarding The Use Of Client Brokerage Commissions
On October 6, 2009, the Canadian Securities Administrators (the "CSA") released the final version of National Instrument 23-102 – Use of Client Brokerage Commissions ("NI 23-102") and related Companion Policy 23-102CP.
Canada
18 Jan 2010
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