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OSC proposes restrictions on use of DSC option in the sale of mutual funds

Canada - March 5 2020 The Ontario Securities Commission (the OSC) has published for comment: proposed Ontario Securities Commission Rule 81-502 Restrictions on…

Shawn Cymbalisty, Jonathan Lee

CSA finalizes client focused reforms to Canadian securities registration rule

Canada - October 4 2019 On October 3, 2019, the Canadian Securities Administrators (CSA) published Reforms to Enhance the Client-Registrant Relationship…

Jennifer Jeffrey, Lori Stein

Reducing Regulatory Burden for Investment Fund Issuers - Phase 2, Stage 1

Canada - September 24 2019 On September 12, 2019, the Canadian Securities Administrators (CSA) published for comment CSA Notice and Request for Comment Reducing Regulatory…

Shawn Cymbalisty

Government of Ontario rejects CSA proposal on embedded commissions

Canada - September 13 2018 Earlier today, the Canadian Securities Administrators (CSA) published proposed regulatory amendments that would prohibit the payment of commissions to…

Mark DesLauriers, Jennifer Jeffrey, Lawrence E. Ritchie, Lori Stein, Blair Wiley

New lists for monthly AML reporting

Canada - December 6 2017 Dealers and advisers that are registered or operate under exemptions from registration under Canadian securities laws must consult two new lists of…

Lori Stein, Blair Wiley