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Canadian Securities Regulatory Monitor Blog

Articles: 1-10 of 185

OSC 2021-2022 Statement of Priorities

Canada - November 26 2020 In keeping with its regular practice, the Ontario Securities Commission (the “OSC”) has opened a 30 day window ending December 16 to request comments…

Appeals from the Ontario Securities Commission Post-Vavilov

Canada - October 20 2020 The Supreme Court of Canada’s decisions in companion appeals Canada (Minister of Citizenship and Immigration) v. Vavilov and Bell Canada v. Canada…

OSC and IIROC Seek Tips to Help Prosecute Short Sale Market Manipulators

Canada - October 2 2020 The Ontario Securities Commission (OSC) and the Investment Industry Regulatory Organization of Canada (IIROC) have issued a joint press release…

CSA ban on certain mutual fund trailing commissions takes effect June 1st, 2022

Canada - September 24 2020 As discussed in a previous blog, the Canadian Securities Administrators (CSA) are adopting amendments (Amendments) that, effective June 1, 2022, will:…

Redefining Significant Acquisitions: Amendments to the BAR Significance Tests

Canada - August 27 2020 On August 20, 2020, the Canadian Securities Administrators (the “CSA”) published CSA Notice of Amendments to National Instrument 51-102 Continuous…

Ontario joins the crowd on crowdfunding exemptions

Canada - August 5 2020 On July 30, 2020, Ontario adopted a start-up crowdfunding exemption regime substantially similar to that currently in place in British Columbia…

Modernization Taskforce Releases Interim Report

Canada - July 16 2020 A Taskforce established by the Ontario Government earlier this year to review the Ontario Securities Act and provide policy recommendations on how to…

CSA’s 2019 Enforcement Report reflects lower level of activity than 2018

Canada - July 15 2020 The Canadian Securities Administrators (CSA) recently released its annual report on the enforcement activities of its members. The CSA is the…

Registered firms in Canada now have more choices to satisfy Chief Compliance Officer staffing requirement

Canada - July 7 2020 The current rules require one registered Chief Compliance Officer (CCO) per registered legal entity, but important new Canadian Securities…

CSA relaxes rules for advisors who don’t pick stocks

Canada - June 16 2020 Effectively immediately, the Canadian Securities Administrators (CSA) will no longer require all advising representatives (ARs) to have stock-picking…