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Canadian Securities Regulatory Monitor Blog

Articles: 1-10 of 150

Foresight 2020: IIROC Publishes Its Priorities for Fiscal 2020

Canada - June 7 2019 Recently, the Investment Industry Regulatory Organization of Canada (IIROC) published its regulatory priorities for fiscal 2020 and a three-year…

FINTRAC and IIROC Strengthen Information Sharing with Enhanced Memorandum of Understanding

Canada - June 5 2019 On May 30, 2019, the Financial Transactions and Reports Analysis Centre of Canada (FINTRAC) and the Investment Industry Regulatory Organization of…

IIROC Releases its Annual Enforcement Report for 2018

Canada - May 31 2019 Earlier this month, the Investment Industry Regulatory Organization of Canada (“IIROC”) published its annual Enforcement Report for 2018 (the…

Reducing Regulatory Burden - Highlights from the OSC’s Third and Final Roundtable

Canada - May 30 2019 As discussed in our recent posting, the Ontario Securities Commission (OSC) has identified regulatory burden reduction as one of its key priorities…

Securities regulators pursuing disgorgement orders in other jurisdictions

Canada - May 29 2019 The British Columbia Securities Commission (“BCSC”) reported earlier this month that its $21.7 million disgorgement order against Michael Lathigee…

CSA to Reboot Electronic Document Filing Systems Starting in 2021

Canada - May 17 2019 The Canadian Securities Administrators (CSA) are proposing to replace CSA national systems starting in 2021 with a more centralized CSA IT system…

IIROC Advances Two New Forms of Disciplinary Action

Canada - May 1 2019 In a recent Notice (the 2019 Proposals), the Investment Industry Regulatory Organization of Canada (IIROC) announced that it proposes to move forward…

CSA Proposes Marketplace Rule Changes Affecting Systems Requirements and Reporting

Canada - April 26 2019 The Canadian Securities Administrators (CSA) are proposing amendments to National Instrument NI 21-101 - Marketplace Operation (NI 21-101) that would…

Ontario Budget 2019: Securities Regulation and Financial Services Update

Canada - April 26 2019 On April 11, 2019, the Ontario government announced in its 2019 Ontario Budget: Protecting What Matters Most (the 2019 Ontario Budget) a number of…

Reducing Regulatory Burden - Highlights from the OSC’s First Roundtable

Canada - April 16 2019 The Ontario Securities Commission (OSC) has identified regulatory burden reduction as one of its key priorities for the coming year. The Ontario…