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