Results 1 to 5 of 114

Whistling past borders: Recent financial award highlights the OSC whistleblower program’s global reach

Canada - March 7 2022 The Ontario Securities Commission (OSC) announced recently announced that it has awarded $240,000 to joint whistleblowers for a tip that originated…

Wendy Berman, Shane C. D'Souza, Natalie Kolos, Sean D. Sadler

The CSA Provides Guidance to Investment Funds Regarding ESG Disclosure: Key Takeaways from CSA Staff Notice 81-334

Canada - February 7 2022 All-time high levels of investor interest in environmental, social and governance (“ESG”) issues has contributed to significant growth in the market…

Robert J. Richardson, CD, Laure Fouin, William Horne, Jin Ge Li, William Main, Sean D. Sadler, Gurvir Sangha, Sonia J. Struthers

Un nouvel organisme d’autoréglementation remplacera l’OCRCVM et l’ACCFM d’ici la fin de 2022

Canada - December 1 2021 Les Autorités canadiennes en valeurs mobilières (les « ACVM ») ont récemment annoncé que le nouvel organisme d’autoréglementation (le « Nouvel OAR »)…

Nicolas Gervais, Sean D. Sadler, Rene Sorell, Sonia J. Struthers

New self-regulatory organization to replace IIROC and MFDA by the end of 2022

Canada - November 24 2021 The Canadian Securities Administrators (“CSA”) recently announced that the new self-regulatory organization (“New SRO”) that will consolidate the…

Laure Fouin, Nicolas Gervais, Sean D. Sadler, Rene Sorell, Sonia J. Struthers, Achille Treuil

IIROC Issues New Guidance on Reporting Material Changes to Dealer Business Activities

Canada - September 22 2021 The Investment Industry Regulatory Organization of Canada (IIROC) recently published new guidance (New Guidance) on how dealer member firms should…

Sean D. Sadler, Rene Sorell