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Canadian Securities Regulatory Monitor Blog

Articles: 1-10 of 203

Canadian Securities Administrators introduce blanket orders exempting “well-known seasoned issuers” from certain base shelf prospectus requirements

Canada - December 13 2021 On December 6, 2021, the Canadian Securities Administrators (“CSA”) published CSA Staff Notice 44-306 Blanket Orders Exempting Well-known Seasoned…

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…

IIROC Publishes Consultation Paper on Phase II of its Proficiency Project

Canada - October 13 2021 The Investment Industry Regulatory Organization of Canada (IIROC) has published for comment a consultation paper detailing competency profiles for…

The SEC is developing a mandatory climate risk disclosure rule proposal - what does it mean for Canadian firms?

USA - October 12 2021 On July 28, 2021, Gary Gensler, the Chair of the United States Securities and Exchange Commission (the “SEC”) announced that he had asked SEC staff to…

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…

Canadian Securities Administrators propose changes to “primary business” Financial Disclosure Requirements

Canada - September 17 2021 On August 12, 2021, the Canadian Securities Administrators (the “CSA”) published a notice and request for comment on their proposed changes to…

Defrauded Canadian Investors Win Big in Vegas: Cross-Border Cooperation Leads to Disgorgement of Stolen Investments in the United States

Canada, USA - August 25 2021 A recent decision from the Nevada Supreme Court in Michael Patrick Lathigee v. British Columbia Securities Commission, 136 Nev Adv Op 79 (Nev Sup Ct…

CSA proposes to create a new self-regulatory organization to replace IIROC and MFDA

Canada - August 23 2021 The Canadian Securities Administrators (CSA) are proposing to create a single new self-regulatory organization (New SRO) which will consolidate the…

CSA’s 2020 Enforcement Report: COVID-19 continues to dampen activity levels

Canada - July 17 2021 The Canadian Securities Administrators (the “CSA”) recently released its annual report on the enforcement activities of its members (the “Report”)…

Regulators propose Significant Changes to public company aif and MD&A filings

Canada - June 9 2021 The Canadian Securities Administrators (CSA) published for comment proposed amendments (Proposed Amendments) that would streamline annual and interim…