Follow

Canadian Securities Regulatory Monitor Blog

Articles: 1-10 of 217

CSA Releases Enforcement Report for 2021

Canada - July 11 2022 The Canadian Securities Administrators (“CSA”) recently released its annual report on the enforcement activities of its members (the “Report”). The…

Business NFT tokenization and its legal implications in Canada

Canada, USA - June 16 2022 Can you breach securities law by trading or issuing non-fungible tokens (NFTs)? An individual was recently arrested in the US for insider trading in…

An inconvenient truth about climate-related shareholder activism

USA - May 31 2022 Climate-related shareholder activism, although not a new phenomenon in Canada,[i] is no longer the exclusive domain of environmentalists and…

New Reporting rules for securities firms and regulated individuals take effect on June 6

Canada - May 31 2022 Last December, the Canadian Securities Administrators (the “CSA”) adopted amendments to National Instrument 33-109 Registration Information (“NI…

The perils of trading after the whistle has been blown

Canada - May 3 2022 Can you trade with knowledge of a whistleblower complaint? A recent US lawsuit is a helpful reminder for insiders that they need to carefully…

The ISSB Releases Drafts of Global Baseline Sustainability Disclosure Standards

Canada - April 21 2022 The International Sustainability Standards Board (“ISSB”) marked its first significant milestone recently with the release of exposure drafts of the…

Mind your margins: Appellate courts uphold securities brokers’ rights to strictly enforce margin agreements

Canada - April 6 2022 Securities brokers typically have contractual rights to liquidate holdings in an account that is “undermargined”, which occurs where there is not…

TNFD Releases First Ever Nature-Related Risk Framework

Canada - April 4 2022 On March 15, 2022, the Taskforce on Nature-related Financial Disclosures (“TNFD”) released the first version of its nature-related risk-management and…

Game Changer: SEC Proposes Landmark Climate Risk Disclosure Rules

Canada, USA - March 23 2022 On March 21, 2022, the U.S. Securities and Exchange Commission (the “SEC”) unveiled its proposed climate-related disclosure rules S7-10-22 - The…

Canadian Securities Regulators are using Enforcement Remedies Against Cryptocurrency Platforms

Canada - March 21 2022 Canadian securities regulators continue to use a combination of enforced regulation and enforcement remedies to control the activities of crypto…