It appears that the long promised regulatory KYC, KYP and suitability audits have begun. Regulators have started reaching out to conduct focused compliance reviews to ensure compliance...

On April 20, 2023, the securities and insurance regulators announced final changes to total cost reporting (TCR) disclosure for investment funds and individual segregated fund contracts.

The United States kick-started recent reform efforts relating to equity crowdfunding with the signing into law of the Jumpstart Our Business Startups (JOBS) Act in April 2012.

Earlier this month, the Canadian Securities Administrators (CSA) released the 2023-2024 Year in Review, which among other things discusses achievements against the six strategic goals set out in its 2022-2025 Business Plan.

On April 25, 2024, the Canadian Investment Regulatory Organization (CIRO) proposed a new integrated fee model for investment dealers and mutual fund dealers, to be effective April 1, 2025.

The Department of Finance Canada released a sweeping consultation paper with respect to Canada's anti-money laundering and anti-terrorist financing regime (AML/ATF regime)...

On October 19, 2022, the OSC published Staff Notice 81-733 Summary Report for Investment Fund and Structured Product Issuers.

Amendments to National Instrument 33-109 Registration Information became effective on June 6, 2022. The amendments change the way registered and permitted individuals (Individual Registrants)...

The Canadian securities regulators adopted a business conduct rule for derivatives dealers and advisers which will become effective on September 28, 2024 (the rule or MI 93-101).

Dans le cadre de notre séminaire annuel sur la gestion des investissements, nous nous sommes inspirés d'Harry Styles et de son album Harry's House et avons revêtu nos plus beaux...

OSC Staff Notice 33-759 Registration, Inspections and Examinations Division 2025 Annual Report is the second annual report issued by the recently reorganized Registration, Inspections and Examinations (RIE) division at the Ontario Securities Commission (OSC).

As noted in our June, 2023 bulletin article, the Department of Finance Canada is considering sweeping amendments to Canada's anti-money laundering and anti-terrorist financing regime...

As noted in our June, 2023 bulletin article, the Department of Finance Canada is considering sweeping amendments to Canada's anti-money laundering and anti-terrorist financing...

On July 4, 2024, the Canadian Investment Regulatory Organization (CIRO) published for comment Rule Amendments which include significant changes to the proficiencies required for every registered

The Canadian securities regulators adopted a business conduct rule for derivatives dealers and advisers which will become effective on September 28, 2024 (the rule or MI 93-101).

The Canadian Investment Regulatory Organization (CIRO) recently published proposed amendments to its proficiency rules (the Proposed Amendments), which will determine the qualifications required...

The New Self-Regulatory Organization of Canada (the New SRO) commenced operations right on schedule on Jan. 1, 2023. The pace of change has been brisk with the New SRO...

There were pearls, boas and other Harry Styles references aplenty at BLG's annual investment management seminar, as we welcomed guests back to "BLG's house" after two years of virtual gatherings.

The Canadian Investment Regulatory Organization (CIRO) has issued proposed guidance (the Proposed Guidance) regarding the ability of Investment Dealer Members offering order execution only (OEO) account services (OEO Dealers) to provide "decision-making supports" to do-it-yourself (DIY) investing clients.

Welcome to BLG and AUM Law's dynamic resource on the Canadian Investment Regulatory Organization (CIRO).