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OSC 2021-2022 Statement of Priorities

Canada - November 26 2020 In keeping with its regular practice, the Ontario Securities Commission (the “OSC”) has opened a 30 day window ending December 16 to request comments...

Sean D. Sadler, Rene Sorell, Tyler Hawley, Lindsey Mahoney.

OSC and IIROC Seek Tips to Help Prosecute Short Sale Market Manipulators

Canada - October 2 2020 The Ontario Securities Commission (OSC) and the Investment Industry Regulatory Organization of Canada (IIROC) have issued a joint press release...

Sean D. Sadler, Rene Sorell, Shane C. D'Souza.

CSA ban on certain mutual fund trailing commissions takes effect June 1st, 2022

Canada - September 24 2020 As discussed in a previous blog, the Canadian Securities Administrators (CSA) are adopting amendments (Amendments) that, effective June 1, 2022, will:...

Sean D. Sadler, Rene Sorell.

Ontario joins the crowd on crowdfunding exemptions

Canada - August 5 2020 On July 30, 2020, Ontario adopted a start-up crowdfunding exemption regime substantially similar to that currently in place in British Columbia...

Sean D. Sadler, Rene Sorell.

Registered firms in Canada now have more choices to satisfy Chief Compliance Officer staffing requirement

Canada - July 7 2020 The current rules require one registered Chief Compliance Officer (CCO) per registered legal entity, but important new Canadian Securities...

Sean D. Sadler, Rene Sorell, Shauvik Shah, Lindsey Mahoney, Sonia J. Struthers, Laure Fouin.