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Protecting your assets under management As capital markets change and regulatory requirements become increasingly important, asset managers need…
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AUM Law | Canada | 17 Mar 2023

A New Year and a New SRO: Two months in

The New Self-Regulatory Organization of Canada (the New SRO) commenced operations right on schedule on Jan. 1, 2023. The pace of change has been…
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AUM Law | Canada | 31 Oct 2022

Important Reminders: Don’t be Frightened - Individual Registrant Form Updates

As we also described in our June bulletin, it is expected that it may take some firms a significant amount of time to amend an individual…
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AUM Law | Canada | 31 Oct 2022

Important Reminders: Spooktacular Annual Fee Payments are Almost Due

A friendly reminder that registered firms in Ontario and foreign firms that rely on certain exemptions from the Registration Requirements are…
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AUM Law | Canada | 31 Oct 2022

OSC Publishes its 2021-2022 Annual Report - Squad Ghouls

On October 17, 2022, the Ontario Securities Commission (OSC) published its 2021-2022 Annual Report - Responding to Change; Preparing for the Future…
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AUM Law | Canada | 31 Oct 2022

Thrills and Chills - OSC Releases its Annual Summary Report for Registrants

On October 14, 2022, the Compliance and Registrant Regulation (CRR) Branch of the Ontario Securities Commission (OSC) published its annual summary…
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AUM Law | Canada | 31 Oct 2022

A Book a Day Keeps the Monsters Away - IIROC Requests Expressions of Interest for Enhanced Proficiency Regime

Earlier this month, the Investment Industry Regulatory Organization of Canada (IIROC) released a request for Expressions of Interest for potential…
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AUM Law | Canada | 31 Oct 2022

CSA Announces Intentions for OBSI - No Tricks

In early October, the Canadian Securities Administrators (CSA) announced the development of a proposal for public comment which would provide the…
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AUM Law | Canada | 31 Oct 2022

Accredited Investor Exemption Effectively Expanded in Ontario - No Bones About it

On September 25, 2022, the Ontario Securities Commission (OSC) announced that it had adopted an exemption from the Prospectus requirements on a pilot…
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AUM Law | Canada | 31 Oct 2022

What’s Brewing? FSRA Launches Public Consultation on its Proposed 2023-24 Statement of Priorities

On October 13, 2022, the Financial Services Regulatory Authority of Ontario (FSRA) launched a public consultation on its proposed 2023-2024 statement…
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