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Protecting your assets under management As capital markets change and regulatory requirements become increasingly important, asset managers need…
Article

AUM Law | Canada | 29 Jan 2021

In Brief: OSC Issues “Best Practice Guidance” for Prospectus Filings

In March 2020, The Ontario Securities Commission (OSC) has put in place the option of confidentially pre-filing a Prospectus, as part of the OSC’s…
Article

AUM Law | Canada | 29 Jan 2021

In Brief: Regulators Make it Easier for MFDA Reps to Sell Liquid Alt Funds

On January 28, the Canadian Securities Administrators (CSA) issued temporary blanket relief, which is expected to be codified at a later date. This…
Article

AUM Law | Canada | 29 Jan 2021

CSA Publishes More FAQ Guidance on the Client-Focused Reforms

On September 28, the Canadian Securities Administrators (CSA) published guidance in the form of responses to Frequently Asked Questions (FAQs) about…
Article

AUM Law | Canada | 29 Jan 2021

FAQ Corner: Does a pooled fund that invests in an underlying fund require a custodian for the securities of the underlying fund?

Answer: In June 2018, amendments to the custody requirements in NI 31-103 came into force (the “Custody Amendments”). The Custody Amendments include…
Article

AUM Law | Canada | 29 Jan 2021

FINTRAC Updates its Guidance on Conducting AML Risk Assessments

One of the five core requirements of a registered firm’s anti-money laundering and anti-terrorist financing (AMLTF) compliance program is to conduct…
Article

AUM Law | Canada | 29 Jan 2021

Reviewing Fund Custodian Arrangements

Investment fund managers that have obtained approval from the Ontario Securities Commission to self-trustee pooled funds and/or exemptive relief for…
Article

AUM Law | Canada | 29 Jan 2021

Ontario’s Capital Markets Modernization Taskforce Releases Final Report

In our July 2020 Bulletin we reported on the Consultation Report of Ontario’s Capital Markets Modernization Taskforce. On January 22, the Taskforce…
Article

AUM Law | Canada | 29 Jan 2021

FAQ Corner: Can a portfolio manager or investment fund that is subject to FATCA/CRS due diligence and reporting obligations rely on a dealer or third-party custodian to conduct these activities on its behalf?

Answer: The FATCA and CRS provisions of the Income Tax Act (Canada) (the “ITA”) and the guidance issued by the Canada Revenue Agency (CRA) in…
Article

AUM Law | Canada, Global | 29 Jan 2021

In Brief: IOSCO Issues Guidance for Dealing with Aggrieved Investors

On January 27, 2021, the International Organization of Securities Commissions (IOSCO) published a report titled “Complaint Handling and Redress…
Article

AUM Law | Canada | 11 Dec 2020

In Brief: OSC to Leave Fees Alone for Now

On November 12, the Ontario Securities Commission (OSC) published OSC Notice 13-708 whereby it informed market participants that after reviewing…
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