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Results:11-20 of 91

The impact of the amendments on mutual fund dealers
  • Stikeman Elliott LLP
  • Canada
  • July 11 2011

In addition to the Amendments affecting registrants, generally, summarized below are some of the key changes under the Amendments that will impact mutual fund dealers.


The impact of the amendments on firms relying on the international dealer exemption
  • Stikeman Elliott LLP
  • Canada
  • July 11 2011

In addition to the Amendments affecting registrants, generally, summarized below are some of the key changes under the Amendments that will impact firms relying on the international dealer exemption in section 8.18 of NI 31-103.


CSA scrutinize marketing practices of portfolio managers
  • Stikeman Elliott LLP
  • Canada
  • July 6 2011

The Canadian Securities Administrators released a staff notice yesterday summarizing findings from a focused compliance review of the marketing practices of firms registered as portfolio managers.


CSA discuss compliance expectations for EMD registrants
  • Stikeman Elliott LLP
  • Canada
  • June 24 2011

The CSA issued a staff notice earlier this week dealing with the account statement requirements under National Instrument 31-103 Registration Requirements and Exemptions.


Update on regulators' responses to postal strike
  • Stikeman Elliott LLP
  • Canada
  • June 3 2011

As we recently discussed, the OSC provided guidance earlier this week for issuers in case of a postal strike, a situation that has now been realized.


OSC finds non-compliance with interim financial statement disclosure requirements
  • Stikeman Elliott LLP
  • Canada
  • May 20 2011

The Ontario Securities Commission released a staff notice last week discussing its recent review of issuer compliance with section 4.3(3) of NI 51-102 Continuous Disclosure Obligations.


CSA release updated FAQs regarding institutional trade matching and settlement
  • Stikeman Elliott LLP
  • Canada
  • May 6 2011

The Canadian Securities Administrators today released a revised version of CSA Staff Notice 24-305, which sets out questions and answers regarding compliance with National Instrument 24-101 Institutional Trade Matching and Settlement.


CSA answer IFRS-related questions regarding accounting policies
  • Stikeman Elliott LLP
  • Canada
  • April 15 2011

Last week, the Canadian Securities Administrators (CSA) issued a Staff Notice in response to questions they have received regarding disclosure about accounting policies in issuers' interim and annual MD&A.


IIROC releases updated strategic plan
  • Stikeman Elliott LLP
  • Canada
  • April 15 2011

Yesterday, the Investment Industry Regulatory Organization of Canada (IIROC) issued its updated Strategic Plan for 2010-2012.


SEC proposes rules for listing standards regarding compensation committees
  • Stikeman Elliott LLP
  • USA
  • April 1 2011

The U.S. SEC released a proposal this week directing national securities exchanges to require compliance with new independence requirements for compensation committees.