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Results: 1-10 of 27

Court affirms standard of review for decisions of securities commissions is reasonableness
  • Dentons
  • Canada
  • August 21 2013

The Appellants, Sanji Sawh and Vlad Trkulja, who were both mutual fund dealers and exempt market dealers, founded Investment House of Canada (“IHOC”


Middle East and Turkey update - March 2012
  • Dentons
  • Middle East, Turkey
  • March 14 2012

New legislation is published weekly in the Official Gazette


Practical approach to enhance the protection of Quebec mutual fund investors
  • Dentons
  • Canada
  • February 20 2012

The Quebec government has mandated the Autorité des marchés financiers (‘’AMF’’) to hold a public consultation on compensation for victims of financial fraud


SEC to review status of mortgage-related pools under the Investment Company Act and the Section 3(c)(5)(c) exemption
  • Dentons
  • USA
  • October 31 2011

The SEC has issued a concept release (the "Concept Release") in which it announced its intention to review the exemption from investment company registration under Section 3(c)(5)(C) of the Investment Company Act and its applicability to companies that are engaged in the business of acquiring mortgages and related instruments ("mortgage-related pools"), particularly real estate investment trusts ("REITs"


CSA publish proposal to implement Stage 2 of point of sale disclosure for mutual funds
  • Dentons
  • Canada
  • September 14 2011

The Canadian Securities Administrators (the “CSA”) have published for a 90day comment period proposed amendments to National Instrument 81101 that are intended to implement Stage 2 of the point of sale disclosure framework originally published in October 2008 by the Joint Forum of Financial Market Regulators


New regulatory rule for CIMA registered funds
  • Dentons
  • Cayman Islands
  • March 29 2011

CIMA has issued a new regulatory rule titled ‘Rule on Regulatory Reporting Standards which impacts financial reporting for regulated mutual funds and other CIMA registered entities


Foreign bank account reports (FBARs) due June 30, 2010
  • Dentons
  • USA
  • June 22 2010

This updates our March 17, 2010, In Brief Tax client alert discussing new proposed regulations governing the reporting of foreign bank, brokerage and other foreign financial accounts ("FBAR") on Form TD F 90-22


BoE speaks on shadow banking
  • Dentons
  • United Kingdom
  • January 29 2010

Paul Taylor spoke on the role of shadow banking


National Instrument 31-103: Registration Requirements and Exemptions
  • Dentons
  • Canada
  • August 12 2009

On July 17, 2009, the Canadian Securities Administrators published National Instrument 31-103: Registration Requirements and Exemptions (NI 31-103 or the Instrument), which is expected to come into force on September 28, 2009


CSA introduces new registration regime
  • Dentons
  • Canada
  • July 30 2009

On July 17, 2009, the Canadian Securities Administrators (the "CSA") approved National Instrument 31-103 Registration Requirements and Exemptions ("NI- 31-103") and Companion Policy 31-103CP (together with NI 31-103, the "Instrument"