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New Compensation Restrictions for a New Decade - CSA Bans with Twists in Ontario

Canada - December 20 2019 Just in time for the holidays, the Canadian Securities Administrators yesterday released CSA Staff Notice 81-332 Next Steps on Proposals to Prohibit...

Kathryn M. Fuller, Rebecca A. Cowdery, Donna Spagnolo, John E. Hall, Prema K.R. Thiele.

OSC’s Regulatory Burden Reduction Proposals - Potential Benefits to Investment Funds and Registrants

Canada - December 2 2019 On November 19, 2019, the Ontario Securities Commission released Reducing Regulatory Burden in Ontario’s Capital Markets (the Report). The Report...

Ronald M. Kosonic, Rebecca A. Cowdery, Donna Spagnolo, Michael Taylor.

Mutual Fund Embedded Compensation: the Expected, the Dramatically Unexpected and What’s Next?

Canada - October 4 2018 As expected, on September 13, 2018, the Canadian Securities Administrators (the CSA) published draft rules intended to implement the policy direction...

Kathryn M. Fuller, Rebecca A. Cowdery, Jason J. Brooks.

OSC staff guidance on portfolio liquidity for investment funds eight key compliance considerations

Canada - July 30 2015 On June 25, 2015, the Ontario Securities Commission (the OSC) issued OSC Staff Notice 81-727 Report on Staff's Continuous Disclosure Review of Mutual...

Donna Spagnolo.

Fund Facts delivery before purchase of Canadian mutual funds - effective May 30, 2016

Canada - December 18 2014 Starting May 30, 2016, investors will only be able to complete their purchase of a Canadian mutual fund, subject to limited exceptions, after their...

Kathryn M. Fuller, Rebecca A. Cowdery, Donna Spagnolo, John E. Hall.