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The OSC announced last week that amendments to NI 31-103 that would set out requirements for, among other things, client reporting with respect to cost disclosure, investment performance reporting and client statements, have received Ministerial approval.

The OSC and IIROC this week announced that the deadline for submitting participation forms in connection with the distribution of settlement funds is being extended to October 26, 2012.

Equity Crowdfunding Panel Discussion With Ontario Securities Commissioner Vice-Chair James E.A. Turner

Regulatory changes requiring investment funds to transition to IFRS for financial years beginning on or after January 1, 2014 have now received Ministerial approval in Ontario and Quebec.

Key statistics about the offering memorandum exemption from the Alberta Securities Commission.

Jordana Sanft was featured in IPIC's Community Spotlight, which celebrates the people who have shaped the Intellectual Property Institute of Canada over its 100-year history.

The regulators indicated that all trades are subject to applicable securities and derivatives legislation and specifically called out Multilateral Instrument 91-102 Prohibition of Binary Options, which prohibits a person from advertising, offering, selling or otherwise trading a binary option with a term of less than 30 days with or to an individual.

A summary on the third annual conference organized by the Canadian Securities Lending Association.

In its recently published Budget for 2017, the Ontario Government is proposing to allow SROs, such as the MFDA and the IIROC to file their disciplinary decisions with the court ...

Ontario’s statutory regime for secondary market liability came into effect in 2006 as a result of amendments to the Securities Act, which created a statutory cause of action for deficient market disclosure.

The OSC announced today that amendments to the registration, prospectus and continuous disclosure rules related to National Instrument 25-101 Designated Rating Organizations have received Ministerial approval.

The securities regulators of British Columbia, Saskatchewan, Manitoba, Quebec, New Brunswick and Nova Scotia have made amendments to the previously adopted start-up crowdfunding exemption...

The Investment Industry Regulatory Organization of Canada (IIROC) has announced that industry-wide tests of dealers' business continuity plans will be conducted on a bi-annual basis going forward.

The Alberta Securities Commission (ASC) and the Financial and Consumer Affairs Authority of Saskatchewan (FCAA) have extended the prospectus exemption available...

The ASC concluded that Graf neither accepted responsibility for her proved misconduct, nor seemed truly to appreciate how serious it was.

Securities dealers, including CIRO member dealers, are subject to Canada's anti-money laundering (AML) and anti-terrorist financing (ATF) regime.

Chief Compliance Officers of securities dealers are regularly confronted with new issues and problems.