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Results: 1-10 of 43

NI 31-103 Amendments: EMDs Banned from Prospectus Offerings
  • Stikeman Elliott LLP
  • Canada
  • August 3 2017

Under a series of amendments to National Instrument 31-103 - Registration Requirements, Exemptions and Ongoing Registrant Obligations published on


IIROC Best Execution Amendments and Guidance
  • Stikeman Elliott LLP
  • Canada
  • August 3 2017

On July 6, 2017, the Investment Industry Regulatory Organization of Canada (IIROC) published final amendments to the Universal Market Integrity Rules


OSC 2017 Annual Report for Registrants: 10 Take-aways
  • Stikeman Elliott LLP
  • Canada
  • July 25 2017

On July 11, 2017, the Ontario Securities Commission released Staff Notice 33-748 Annual Summary Report for Dealers, Advisers and Investment Fund


IIROC Proposed Amendments to Client ID and Verification Requirements: The Argument for Red Tape Reduction
  • Stikeman Elliott LLP
  • Canada
  • July 18 2017

On July 6, 2017, IIROC published for comment IIROC Notice 17-0139 Proposed Amendments to Client Identification and Verification Requirements. IIROC is


Regulating the Regulators: IIROC 2016 Report Card Released
  • Stikeman Elliott LLP
  • Canada
  • July 17 2017

The Investment Industry Regulatory Organization of Canada (IIROC) is the national self-regulatory organization (SRO) that oversees all investment


ASC Exempt Market Dealer Sweep Prompts Best Practice Guidance
  • Stikeman Elliott LLP
  • Canada
  • May 26 2017

The Alberta Securities Commission (ASC) recently completed a compliance “sweep” of 66 Alberta-based exempt market dealers (EMDs). The results of the


CSA Sweep Uncovers Small Firm Business Continuity Plan Deficiencies
  • Stikeman Elliott LLP
  • Canada
  • May 25 2017

The Canadian Securities Administrators (CSA) recently released the results of a compliance review focused on sole proprietorships and other firms


CSA Reconsider as Industry Takes Aim at Targeted Reforms
  • Stikeman Elliott LLP
  • Canada
  • May 12 2017

On May 11, 2017, the Canadian Securities Administrators (the CSA) published CSA Staff Notice 33-319 Status Report on CSA Consultation Paper 33-404


Mutual Funds to Settle T2
  • Stikeman Elliott LLP
  • Canada
  • May 4 2017

The Canadian Securities Administrators, other than the British Columbia Securities Commission, have published for comment very minor proposed


Red Tape Reduction for Funds and Managers among OSC's Priorities
  • Stikeman Elliott LLP
  • Canada
  • May 3 2017

Initiatives of interest to funds and managers feature prominently in the Ontario Securities Commission’s 2017-2018 Draft Statement of Priorities (OSC