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Broker-dealers, investment advisers and fund managers - Non-resident Securities Businesses ("NRSB") – wanting to engage Canadian investors can do so relatively

As reported in Charity & NFP Law Bulletin No. 528, the Department of Finance Canada ("Finance") published draft legislation on August 12, 2024 proposing amendments to the trust reporting provisions under the Income Tax Act, and sought public feedback and comments on the draft legislation.

In July, the Canadian Investment Regulatory Organization (CIRO) published additional syllabuses and practice exams in furtherance of its new proficiency model...

This summer, the Canadian Investment Regulatory Organization (CIRO) published amendments to the Mutual Fund Dealer Rules and the Investment Dealer and Partially Consolidated Rules...

The Ontario Securities Commission recently announced that amendments to National Instrument 24-102 Clearing Agency Requirements have now been approved by Ontario's Minister of Finance.

On July 9, 2024, Cooper Equipment Rentals Limited announced that it successfully closed a private placement offering of $250 million aggregate principal amount of 7.45% senior unsecured notes due July 4, 2029.

Spiffy, a Toronto-based digital training platform for workplaces, has been acquired by Oliver Solutions. The financial terms of the deal were not disclosed.

On Feb. 12, 2019, Doxim announced that it had acquired Market Connections, Inc., a customer communications and campaign management technology provider to wealth management and other financial services organizations.

The marketing, offering and issuance of securities by foreign private funds in Canada are regulated under the securities regime established in each province or territory.

Davies has submitted a comprehensive comment letter on a new Capital Markets Act (CMA) proposed by the Ontario Ministry of Finance...

On May 10, 2016, the Investment Industry Regulatory Organization of Canada announced that it is extending the deadline for unwinding existing trustee, executorship and power of attorney arrangements prescribed by Dealer Member Rule 43.2(5)(i).

The Ontario Securities Commission recently announced the adoption of OSC Rule 11-501, Electronic Delivery of Documents to the Ontario Securities Commission.

In mid May, the Ontario Securities Commission (OSC) and the Securities and Futures Commission of Hong Kong (SFC) signed a Memorandum of Understanding (MoU) intended to assist cross-border supervision and market access.

In its fall economic statement, the Ontario Government has pledged to conduct a broad review the Securities Act, R.S.O. 1990, c. S.5 for the first time in over 15 years

The Ontario Securities Commission (OSC) recently released its annual Summary Report for Dealers, Advisors and Investment Fund Managers (Summary Report) for the 2020-2021 fiscal year.

On February 26, 2008, the Office of the Superintendent of Financial Institutions ("OSFI") published a revised version of its "Guide to Intervention for Federally Regulated Deposit-Taking Institutions" (the "Guide") which reflects both changes in applicable legislation and a much more aggressive and comprehensive approach to intervention.

In its 2015 budget, the Ontario government stated its intention to review Ontario's corporate and commercial statutes...