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Uniquely Canadian regulatory expectations for investment fund liquidity risk management

Canada - October 27 2020 On September 18, 2020, the Canadian Securities Administrators (CSA) released CSA Staff Notice 81-333 Guidance on Effective Liquidity Risk Management…

Lynn M. McGrade, Scott McEvoy.

No advice on mutual fund investing? No trail after June 1, 2022, but challenges ahead

Canada - September 30 2020 On September 17, 2020, the Canadian Securities Administrators (CSA) released final rule amendments prohibiting the payment of trailing commissions by…

Donna Spagnolo, Jason J. Brooks, Kathryn M. Fuller, Lynn M. McGrade, Michael T. Waters.

Self-regulation in Canada - time for a change in changing times?

Canada - September 2 2020 Throughout the history of the securities industry in Canada, the industry itself has played a critical role in the regulation and oversight of the…

John P. Stanley, Prema K.R. Thiele.

Ontario capital markets modernization taskforce releases initial consultation report

Canada, USA - August 25 2020 On July 9, 2020, the Ontario Capital Markets Modernization Taskforce (the Taskforce) released its initial consultation report (the Report). The…

Jacqueline Ting, Paul A.D. Mingay, Philippe Tardif.

CSA seek to require registrants to help defend clients against financial exploitation

Canada - July 23 2020 On March 5, 2020, the Canadian Securities Administrators (CSA) published for comment proposed amendments to National Instrument 31-103 Registration…

Laura Paglia, Lynn M. McGrade, Michael Taylor, Prema K.R. Thiele, Robert D. Wallis.