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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 | 31 May 2022

Encouraging Dialogue - FSRA’s New Whistle-Blower Program: Enhanced Protection in the Non-Securities Financial Services and Pensions Sectors

Recent amendments to the Financial Services Regulatory Authority of Ontario Act, 2016 (FSRA Act), effective April 29, 2022, marks the Financial…
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AUM Law | Canada | 31 May 2022

Investor Protection Funds in the Limelight - Application for Approval of the New Investor Protection Fund

In mid-May, the Canadian Securities Administrators (CSA) released CSA Staff Notice 25-305 Application for Approval of the New Investor Protection…
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AUM Law | Canada | 31 May 2022

Important Reminders: Modernizing Registration Information Requirements, Clarifying Outside Activity Reporting and Updating Filing Deadlines

A friendly reminder that amendments to legislation clarifying the “Outside Activity” (OA) reporting framework and modernizing registration…
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AUM Law | Canada | 31 May 2022

Important Reminders: Update Your SEDAR Profile - It’s Crunch Time

As the Canadian Securities Administrators (CSA) continue to work toward SEDAR+ as its new filing portal - now scheduled to be implemented in February…
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AUM Law | Canada | 31 May 2022

FAQ Corner: CFR FAQ - The Sequel

Since the enhancements introduced as part of the Client Focused Reforms (CFR) came into force in 2021, the Canadian Securities Administrators (CSA)…
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AUM Law | Canada | 31 May 2022

Shining a Spotlight on Fees - Total Cost Reporting is Here

In our November bulletin we wrote about the Ontario Securities Commission (OSC) draft Statement of Priorities (SoP), which helps inform its business…
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AUM Law | Canada | 31 May 2022

CSA Staff Notice 25-503 - 2021 CSA Annual Activities Report on the Oversight of Self-Regulatory Organizations and Investor Protection Funds - The Show Must Go On

Despite the impending consolidation of IIROC and the MFDA discussed earlier in this bulletin, staff of the Canadian Securities Administrators (CSA)…
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AUM Law | Canada | 31 May 2022

Amendments Relating to the Transition for Québec Mutual Fund Dealers to the New SRO - The Plot Thickens

The Autorité des Marchés Financiers (AMF) has proposed a Regulation to amend Regulation 31-103 respecting Registration Requirements, Exemptions and…
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AUM Law | Canada | 31 May 2022

Kicking Off a New Regime - Application for Recognition of New Self-Regulatory Organization

The Canadian Securities Administrators (CSA) has taken one step closer to realizing on its recommendations to consolidate the two existing…
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AUM Law | Canada | 11 May 2022

The Registration Rules Book

This Borden Ladner Gervais LLP Registration Rules Book incorporates the most commonly used national and multilateral instruments and policies…
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