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Registrants Face Significantly Increased Obligations under Proposed CSA Rule Amendments
  • McCarthy Tétrault LLP
  • Canada
  • July 11 2018

Recently, the Canadian Securities Administrators (CSA) published for comment important rule amendments to National Instrument 31-103 Registration


CSA Sets Out Priorities for 2016-2019
  • McCarthy Tétrault LLP
  • Canada
  • August 22 2016

The Canadian Securities Administrators (CSA) published on July 7, 2016 their priorities for the three-year period 2016 to 2019 under four categories:


The CSA Proposes Mandatory Standardized Risk Classification Methodology for Mutual Funds and ETFs
  • McCarthy Tétrault LLP
  • Canada
  • December 16 2015

The Canadian Securities Administrators (CSA) are proposing to introduce a mandatory standardized risk classification methodology for mutual funds and


Mutual fund compensation and reinvestment practices face OSC scrutiny
  • McCarthy Tétrault LLP
  • Canada
  • March 31 2015

The OSC recently published its 2014 Summary Report for Investment Fund and Structured Product Issuers which includes, among other topics, a summary


OSC mulling ban on mutual fund trailing commissions for fee-based accounts
  • McCarthy Tétrault LLP
  • Canada
  • December 1 2014

The OSC Staff has announced steps it will take to eliminate trailing commissions for fee-based mutual fund series when they file their next annual


New National Instrument 31-103 to take effect September 28, 2009
  • McCarthy Tétrault LLP
  • Canada
  • September 2 2009

Dealer and adviser registration categories and requirements throughout Canada are numerous, varied and complex.