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Searching Content indexed under Compliance by McCarthy Tétrault LLP ordered by Published Date Descending.
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1
CSA Finalizes Client Focused Reforms
On October 3, 2019, the Canadian Securities Administrators (CSA) published its notice of amendments to National Instrument 31–103 Registration Requirements, Exemptions...
Canada
24 Oct 2019
2
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
3
The United Kingdom Financial Conduct Authority Publishes Policy Statement And Final Rules For Loan-Based (‘Peer-To-Peer') And Investment-Based Crowdfunding Platforms
On June 4, 2019, the United Kingdom Financial Conduct Authority (the "FCA") published its policy statement PS19/14 (the "Policy Statement") following responses to its July 2018 consultation paper CP18/20
UK
27 Aug 2019
4
What Federally-Regulated Employers Need to Know About The Accessible Canada Act
The Act provides the right for individuals to file a complaint to Accessibility Commissioner if they have suffered physical or psychological harm, property damage
Canada
19 Aug 2019
5
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
6
Modifications aux exigences de Transports Canada en matière d'avis de défaut et de non-conformité : vous allez certainement vouloir vous en « rappeler »
Le 10 juillet 2019, le Gouvernement du Canada a modifié le Règlement sur la sécurité des véhicules automobiles par la publication dans la Gazette du Canada, Partie 2, Vol. 153, n° 14 du Règlement ...
Canada
31 Jul 2019
7
Innovative Deal Structuring: Transferring Deal Value Prior To Obtaining Merger Control Approval
On June 10th 2019, the United States antitrust agencies announced a US$5 million settlement with two companies, Canon and Toshiba, in respect of allegations that the companies deliberately avoided obligations to report...
United States
8 Jul 2019
8
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
9
New Business World, New Legal Models
As business innovation and collaboration become paramount to competitive success, it is clearer than ever that organizations are not solving legal, financial or even technology challenges, but are instead solving business challenges.
Canada
4 Jun 2019
10
Nouveau monde des affaires, nouveaux modèles de services juridiques
Tandis que l'innovation et la collaboration deviennent essentielles au succès en affaires, il apparaît plus clairement que jamais ...
Canada
3 Jun 2019
11
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
12
FINTRAC Issues New Administrative Monetary Penalties Policy And New Tools In Respect Of Compliance And Its Examination Process
On February 7, 2019, the FINTRAC issued a new Compliance Framework and Assessment Manual, as well as a revised AMP Policy and a notice on Voluntary Self-Declaration of Non-Compliance.
Canada
15 Feb 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
CRTC's Troubling Guidelines On CASL Accessorial Liability
If you thought CASL wasn't draconian enough, think again.
Canada
20 Nov 2018
15
Key Takeaways For Market Participants From The 2017-2018 Annual Report From The Ontario Securities Commission's Corporate Finance Branch
Each year the Corporate Finance Branch of the OSC releases a report providing an overview of the operational and policy work completed during the year, future policy initiatives and how the OSC interprets and applies its rules in certain areas.
Canada
31 Oct 2018
16
Five Tips For Compliance With New Privacy Consent Guidelines
Privacy compliance is top of mind, not the least of all because of GDRP and Canada's new mandatory breach notification rules.
Canada
30 Oct 2018
17
Ontario Securities Commission Identifies Priority Areas For 2018-2019 And Reports On Prior Year
Each year the Ontario Securities Commission (the "OSC") outlines its priorities for the upcoming year and reports on the success of the previous year's priorities
Canada
17 Sep 2018
18
Top 10 Key Takeaways From The CVCA's Recent Private Equity And Venture Capital Canadian Market Overview For The First Half Of 2018
The Canadian Venture Capital and Private Equity Association (CVCA) recently released its H1 2018 VC & PE Canadian Market Overview (the Report).
Canada
12 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
Canadian Securities Administrators Release Updated Guidance For Issuers With Cannabis Activities In The United States
On February 8, 2018, the Canadian Securities Administrators (the "CSA") published Staff Notice 51-352 (Revised) (the "Notice") setting forth disclosure obligations applicable to issuers ...
Canada
20 Feb 2018
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