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British Columbia, Alberta and Quebec issue blanket relief in attempt at rolling back application of new OTC issuer rule
- Stikeman Elliott LLP
- -
- Canada
- -
- August 2 2012
The securities commissions in British Columbia, Alberta and Quebec have each issued separate blanket orders exempting certain issuers from the application of Multilateral Instrument 51-105 Issuers Quoted in the U.S. Over-the-Counter Markets
US OTC market issuers could become subject to Canadian reporting obligations
- Stikeman Elliott LLP
- -
- Canada, USA
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- June 25 2012
The Canadian Securities Administrators in each province and territory of Canada other than Ontario (the adopting jurisdictions) recently adopted Multilateral Instrument 51-105 Issuers Quoted in the U.S. Over-the-Counter Markets
New Canadian proposals for non-resident investment fund manager registration
- Stikeman Elliott LLP
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- Canada
- -
- March 2 2012
As discussed in our post of February 10, the Canadian Securities Administrators (CSA) recently published two sets of proposals relating to the registration of non-resident investment fund managers (IFMs
Quebec's complaint reporting system - reminder of semi-annual filings for registrants in Quebec
- Stikeman Elliott LLP
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- Canada
- -
- January 25 2012
Québec’s financial services regulator, the Autorité des marchés financiers (AMF), has issued a reminder that firms registered or otherwise licensed by the AMF in Québec, including as securities dealers or advisers, must file their semi-annual report of client complaints on the AMF’s Complaint Reporting System (CRS) by January 30 covering the period of July 1 to December 31
AMF tables proposed rules on the derivatives qualification requirement in Quebec
- Stikeman Elliott LLP
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- Canada
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- January 13 2012
On December 16, 2011, Quebec’s financial services regulator, the Autorité des marchés financiers (AMF), tabled proposed amendments to the Derivatives Regulation (Quebec) (QDA) which are intended to implement the provisions of the Derivatives Act (Quebec) governing “qualified persons” (the Proposals
Quebec adopts material housekeeping amendments to derivatives legislation
- Stikeman Elliott LLP
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- Canada
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- January 13 2012
On November 30, 2011, the Quebec Government passed omnibus amendments to financial services legislation under Bill 7, An Act to amend various legislative provisions mainly concerning the financial sector
OSC registrant compliance report flags deficiencies and provides guidance
- Stikeman Elliott LLP
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- Canada
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- November 10 2011
On September 23, the Ontario Securities Commission released OSC Notice 33-736 2011 Annual Summary Report for Dealers, Advisers and Investment Fund Managers
Quebec introduces money services business licensing legislation
- Stikeman Elliott LLP
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- Canada
- -
- November 12 2010
On November 10, 2010, there was a first reading by Quebec's National Assembly of Bill 128, An Act to enact the Money-Services Businesses Act and to amend various legislative provisions mainly concerning special funds and the financial sector (Bill 128
Bill 128 introduces technical amendments to Quebec's Derivatives Act
- Stikeman Elliott LLP
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- Canada
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- November 12 2010
Omnibus financial legislation introduced by the Quebec government on November 10, 2010 includes technical amendments to Quebec's derivatives legislation, as well as provisions intended to improve the oversight of persons authorized to market a derivative and to strengthen the process of authorization of the marketing of the product
Canadian proposal regarding the registration of "international" and domestic investment fund managers
- Stikeman Elliott LLP
- -
- Canada
- -
- October 29 2010
On October 15, 2010 the Canadian Securities Administrators (CSA) published proposed amendments to National Instrument 31-103 - Registration Requirements and Exemptions (NI 31-103) related to the registration of (i) investment fund managers who carry out investment fund management activities from a location outside of Canada (International IFMs), and (ii) domestic Canadian investment fund managers with a head office in one Canadian province or territory and who carry out investment fund management activities in other provinces or territories (Domestic IFMs
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