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Stikeman Elliott LLP | Canada | 10 Jun 2022

Regulators Issue Temporary Exemptions from the OEO Trailer Ban

The Ontario Securities Commission (OSC) recently announced a temporary exemption from the order execution only (OEO) trailer ban in order to…
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WeirFoulds LLP | Canada | 1 Jun 2022

WeirFoulds Securities Law Update: Concise, Informative Updates on Securities Law Developments for the Canadian Marketplace

On October 12, 2021, the Government of Ontario published a draft of the Capital Markets Act (the “CMA”) for public consultation. This follows the…
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Osler Hoskin & Harcourt LLP | Canada | 1 Jun 2022

Ontario Securities Commission provides guidance on ‘trading relationship’ and defence of reliance on legal advice

On March 28, 2022, the Ontario Securities Commission (OSC) released a merits decision in the case of Solar Income Fund (Re). The decision provides…
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AUM Law | Canada | 31 May 2022

Important Reminders: Modernizing Registration Information Requirements, Clarifying Outside Activity Reporting and Updating Filing Deadlines

A friendly reminder that amendments to legislation clarifying the “Outside Activity” (OA) reporting framework and modernizing registration…
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AUM Law | Canada | 29 Apr 2022

OSC Finalizes Statement of Priorities - Going Green

In our November bulletin we wrote about the Ontario Securities Commission (OSC) draft Statement of Priorities (SoP), which helps inform its business…
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AUM Law | Canada | 29 Apr 2022

It’s Still Ongoing - OSC Continues with its Conflict of Interest Focused Reviews

In early March, a number of registrants were selected by staff at the Ontario Securities Commission (OSC) to undergo a focused review on their…
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AUM Law | Canada | 29 Apr 2022

FAQ Corner: Fixing the Leaks: Common OSC Audit Questions

You just got a formal request from the Ontario Securities Commission (OSC) that they would like to come by for a visit, accompanied by a request for…
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McMillan LLP | Canada | 21 Apr 2022

Confidentiality of Compelled Testimony is Affirmed by the Ontario Securities Commission

Compelled testimony provided to the Ontario Securities Commission attracts certain statutory protections. One of these protections is that the…
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AUM Law | Canada | 28 Feb 2022

FAQ Corner: Does Investing Clients’ Assets Into Crypto Require a Portfolio Manager (PM) to First Update its Business Plan with the Ontario Securities Commission (the OSC)?

Answer: Registered firms sometimes ask us if they can provide account statements and reports on a household basis to families where multiple family…
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AUM Law | Canada | 31 Jan 2022

Chim Cher-ee - OSC Product Review Sweep on the Restriction of Sales of Third-Party Investment Products

Related to OSC Staff Notice 33-753 OSC Consultation on Tied Selling and Other Anti-Competitive Practices in the Capital Markets, on December 7 the…
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