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  • Article

    Important Reminder: Deadline To File Reports Of Exempt Distribution With Precision

    Investment funds that utilize the option in National Instrument 45-106 – Prospectus Exemptions (NI 45-106) to file Reports of Exempt Distribution on Form 45-106F1 (Reports) once a year should start to consider.
    CanadaFinance and Banking
    Borden Ladner Gervais LLP
    Borden Ladner Gervais LLP
  • Article

    Important Reminders: Spooktacular Annual Fee Payments Are Almost Due

    Chief Compliance Officers likely have already received a notice from the OSC with respect to the completion of these forms and payment of fees.
    CanadaFinance and Banking
    Borden Ladner Gervais LLP
    Borden Ladner Gervais LLP
  • Article

    Interest Act: When Is A Default Charge A Prohibited Penalty?

    The court found that it was not sufficient for a default charge to be "related" to arrears secured by mortgage for it to be captured by the Interest Act.
    CanadaFinance and Banking
    Borden Ladner Gervais LLP
    Borden Ladner Gervais LLP
  • Article

    Investor Held Contributory Negligent On Appeal

    The appellant invested in a high risk options trading program, which was initially profitable.
    CanadaFinance and Banking
    Borden Ladner Gervais LLP
    Borden Ladner Gervais LLP
  • Article

    ISDA Annex For Derivatives On Exchange Traded Funds

    In May 2008, the International Swaps and Derivatives Association, Inc. (ISDA) formed a working group to produce standard provisions for equity derivative transactions referencing exchange traded funds (ETFs).
    CanadaFinance and Banking
    Borden Ladner Gervais LLP
    Borden Ladner Gervais LLP
  • Article

    Just Over The Horizon: 2025 Annual Report Of The OSC’s Investor Advisory Panel

    The Ontario Securities Commission’s Investor Advisory Panel released its 2025 Annual Report (IAP Report) in May, suggesting that investor protection should continue to shape the regulatory agenda, including through regulatory initiatives aimed at innovation, capital formation and competitiveness.
    CanadaFinance and Banking
    Borden Ladner Gervais LLP
    Borden Ladner Gervais LLP
  • Article

    New CIRO Guidance On “Fit And Proper”: Checkpoints Ahead

    On June 24, the Canadian Investment Regulatory Organization (CIRO) published new Guidance on the Fit and Proper Test for Approved Persons (GN-9200-26-001) (the Guidance), replacing the Oct. 14, 2021, IIROC Guidance Note on this issue
    CanadaFinance and Banking
    Borden Ladner Gervais LLP
    Borden Ladner Gervais LLP
  • Article

    Next Strokes For Long-term Asset Funds

    In late May, the Ontario Securities Commission (OSC) released OSC Staff Notice 81-738 Next Steps Following OSC Consultation Paper 81-737 Opportunity to Improve Retail Investor Access to Long-Term Assets...
    CanadaFinance and Banking
    Borden Ladner Gervais LLP
    Borden Ladner Gervais LLP
  • Article

    Not A Fee Holiday – FSRA Consults On Fee Rule Once Again

    The Financial Services Regulatory Authority of Ontario (FSRA) is proposing further amendments to Proposed Rule 2022–001 – Assessments and Fees (Fee Rule)...
    CanadaFinance and Banking
    Borden Ladner Gervais LLP
    Borden Ladner Gervais LLP
  • Article

    OSC Proposes Amendments To Fee Rules For Non-Compliant Firms And Restricted Dealers

    The Ontario Securities Commission (OSC) has proposed amendments to OSC Rule 13-502 Fees and OSC Rule 13-503 (Commodity Futures Act) Fees in order to charge new fees for (i) restricted dealers...
    CanadaFinance and Banking
    Borden Ladner Gervais LLP
    Borden Ladner Gervais LLP
  • Article

    Proposed Amendments To The Credit Unions And Caisses Populaires Act, 1994 (Ontario)

    The review of the legislation, which is required to occur every 5 years, received both written and oral submissions from industry stakeholders.
    CanadaFinance and Banking
    Borden Ladner Gervais LLP
    Borden Ladner Gervais LLP
  • Article

    Quebec Court Of Appeal Authorizes Investor Class Action Against Desjardins Entities

    In Asselin v. Desjardins Cabinet de services financiers inc. the Quebec Court of Appeal authorized a class action against two Desjardins investment entities relating to two under-performing investment funds.
    CanadaFinance and Banking
    Borden Ladner Gervais LLP
    Borden Ladner Gervais LLP
  • Article

    Reading The Defence: The 2025 Systemic Risk Report

    The Canadian Securities Administrators Systemic Risk Committee (SRC) has released its 2025 Annual Report on Capital Markets (Report), which includes an analysis of capital market trends and vulnerabilities...
    CanadaFinance and Banking
    Borden Ladner Gervais LLP
    Borden Ladner Gervais LLP
  • Article

    Safely Navigating Financial Complaints – Single External Complaints Body Named

    After many consultations and years of discussion, it was announced by the Deputy Prime Minister and Minister of Finance on October 17 that the Ombudsman for Banking Services and Investments ...
    CanadaFinance and Banking
    Borden Ladner Gervais LLP
    Borden Ladner Gervais LLP
  • Article

    Spooktacular Annual Fee Payments Are Almost Due

    The deadline to pay the applicable annual participation fees is January 3, 2023.
    CanadaFinance and Banking
    Borden Ladner Gervais LLP
    Borden Ladner Gervais LLP
  • Article

    Staying Ahead Of OSC Staff's Approach To Sustainable Finance

    Earlier this month, the OSC released a report entitled Insights on the OSC Staff's Approach to Sustainable Finance (the Report).
    CanadaFinance and Banking
    Borden Ladner Gervais LLP
    Borden Ladner Gervais LLP
  • Article

    Supreme Court Of Canada BCE Decision: The Largest LBO In Canadian History Approved

    On June 20, 2008, the Supreme Court of Canada released its decision, with reasons to follow, regarding BCE’s proposed plan of arrangement.
    CanadaFinance and Banking
    Borden Ladner Gervais LLP
    Borden Ladner Gervais LLP
  • Article

    Supreme Court Of Canada Provides Comfort On The Law Of Guarantees

    The Supreme Court of Canada recently dismissed the leave to appeal application in Royal Bank of Canada v. Samson Management & Solutions, a case regarding the enforceability of a standard form bank guarantee.
    CanadaFinance and Banking
    Borden Ladner Gervais LLP
    Borden Ladner Gervais LLP
  • Article

    The Investment Fund Rules Book

    The Canadian investment fund industry is regulated by, among other things, a number of National Instruments. The Investment Fund Rules Book, prepared by members of BLG's...
    CanadaFinance and Banking
    Borden Ladner Gervais LLP
    Borden Ladner Gervais LLP
  • Article

    The Quebec Court Of Appeal Rules That Information Exchanged Between Financial Institutions And The OSFI May Be Disclosed To A Plaintiff In A Litigious Context

    The Quebec Court of Appeal, in a recent 2-to-1 decision, has upheld a judgment from the Superior Court forcing Manulife Financial to disclose a number of confidential documents exchanged between the insurance company and the Office of the Superintendent of Financial Institutions.
    CanadaFinance and Banking
    Borden Ladner Gervais LLP
    Borden Ladner Gervais LLP
  • Showing 901–920 of 7840 results

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