ARTICLE · 31 MAY 2017

CSA Sweep Uncovers Small Firm Business Continuity Plan Deficiencies

Stikeman Elliott LLP

Explore more from Stikeman Elliott LLP

The Canadian Securities Administrators (CSA) recently released the results of a compliance review focused on sole proprietorships and other firms with just one registered individual.

CanadaCorporate/Commercial Law

Author LinkedIn connections

The Canadian Securities Administrators (CSA) recently released the results of a compliance review focused on sole proprietorships and other firms with just one registered individual. CSA Staff Notice 31-350 – Guidance on Small Firms Compliance and Regulatory Obligations is the product of a two-year "sweep" that concluded in mid-2016. The sweep examined the policies and practices of 65 small firms, including investment fund managers, portfolio managers and exempt market dealers.

Readers can also refer to our August 2016 post on Staff Notice 33-747 – Annual Summary Report for Dealers, Advisers and Investment Fund Managers, in which the OSC noted that this analysis was underway.

We operate a free-to-view policy, asking only that you register in order to read all of our content. Please login or register to view the rest of this article.

Register for freeORLog in

Related Articles

BC Securities Commission Holds That A Significant Share Issuance In A Proxy Contest Is Not Contrary To The Public Interest: Re Zefiro Methane Corp.

CanadaCorporate/Commercial Law

The Canadian Consumer: Regional Differences And Buying Behaviour

CanadaCorporate/Commercial Law

Manufacturing Facility Acquisitions: Structuring Deals To Avoid Post Closing Real Estate Risk

CanadaCorporate/Commercial Law

In The Chair With Brent Belzberg (Podcast)

CanadaCorporate/Commercial Law

The Long-duration Acquirer: Where Entrepreneurship Meets Private Equity

CanadaCorporate/Commercial Law

Osler, Hoskin & Harcourt LLP

Legal Intelligence Newsletters: sign up for the latest legal and regulatory news on your chosen topics

Read more about

Related Comparative Guides

Comparative Guide

Technology M&A

Comparative Guide

Merger Control

Comparative Guide

Corporate Governance

Comparative Guide

Enforcement of Civil and Commercial Judgments

See more popular content from

Corporate/Commercial Law

Canadian Public M&A Deal Study 2016

The eighth annual Blakes Canadian Public M&A Deal Study focuses on recurring and emerging issues in the structuring and negotiation of Target-supported public company acquisitions in Canada.

CanadaCorporate/Commercial Law

Blake, Cassels & Graydon LLP

Minimum Wage Increases In Four Provinces Effective October 1, 2026: What Employers Need To Know

Kaitlin Mak is a legal professional at Gowling WLG, a global law firm. This profile page provides information about her practice areas, experience, and professional background. Learn more about her expertise and how she can assist with your legal needs.

CanadaCorporate/Commercial Law

CPA Ontario Introduces New Regulations Governing Alternative Practice Structures

Alternative practice structures (APS), already firmly established in the United States, are generating significant interest and activity in the Canadian market, particularly in regard to accounting firms.

CanadaCorporate/Commercial Law

Osler, Hoskin & Harcourt LLP

Contracts For Services vs. Contracts For Goods In Ontario

In Ontario's fast-paced and constantly changing business landscape, contracts are the basis of all commercial relationships in law. Whether you're a businessperson ordering stock for resale, a tech firm providing...

CanadaCorporate/Commercial Law

Pacific Legal PC

The Compliance Judges’ Scorecard: OSC RIE Division 2026 Annual Report

Cybersecurity, artificial intelligence, fee practices and the quality of regulatory filings feature prominently in the Ontario Securities Commission’s (OSC) latest account of its registration and examination work. OSC Staff Notice 33-762, released on October 7, 2026, reports on the Registration, Inspections and Examinations Division’s (RIE) activities for the fiscal year ended March 31, 2026 (Staff Notice).

CanadaCorporate/Commercial Law

Borden Ladner Gervais LLP

New Tax Measures To Attract And Stimulate Investment In Canada

Christopher Anderson and Michael Kandev are featured legal professionals at Davies Ward Phillips & Vineberg LLP, a prominent law firm. Their professional backgrounds and expertise are highlighted through biographical information and imagery from the firm's Toronto office.

CanadaCorporate/Commercial Law

Davies Ward Phillips & Vineberg LLP

October 2026 Amendments To Chambers Practice In British Columbia: What To Know

The amendments were developed with the input of stakeholders, including members of the judiciary, the legal profession, government ministries and the public, in response to ongoing concerns regarding chambers delays, scheduling inefficiencies, inaccurate time estimates, and matters that are set down for hearing but ultimately do not proceed as scheduled

CanadaCorporate/Commercial Law

Singleton Urquhart Reynolds Vogel LLP

Franchise Law With Jennifer Shayko - Franchising Basics (Part 7) (Video)

What are the essential requirements for franchise disclosure documents in Ontario? Jennifer Shayko breaks down the key legal obligations franchisors must meet when preparing disclosure documents under the Arthur Wishart Act, covering content requirements, delivery methods, and critical timing considerations that can impact franchise agreements.

CanadaCorporate/Commercial Law

Aird & Berlis LLP

Crowe Master Series - Beedie's CFO Mason Bennett: Advice For Those Looking For A Career At Beedie (Video)

Are you considering a career in real estate and construction? Get invaluable advice directly from Mason Bennett, CFO at Beedie. Start your journey on the right foot.

CanadaCorporate/Commercial Law

No Discretion To Refuse Shareholder's Request For Audited Financial Statements

The Court does not have discretion under the Ontario Business Corporations Act ("OBCA") to refuse a shareholder's request for the corporation to produce audited financial statements.

CanadaCorporate/Commercial Law