Canadian Securities Regulatory Monitor

News and insight by McCarthy Tétrault's Securities Regulation and Investment Product Group

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Banking & Financial Services

Read Finally – the First Merits Decision in a Securities Class Action Alleging Secondary Market... Finally – the First Merits Decision in a Securities Class Ac... Finally – the First Merits Decision in a Securities Class Action Alleging Secondary Market Misrepresentation

By H. Michael Rosenberg

H. Michael Rosenberg
Banking & Financial Services

Read IIROC Publishes for Comment Proposed Client Focused Reform Amendments IIROC Publishes for Comment Proposed Client Focused Reform A... IIROC Publishes for Comment Proposed Client Focused Reform Amendments

By Rene Sorell ...

Rene Sorell
Banking & Financial Services

Read Changes to Capital Pool Company (CPC) Program Changes to Capital Pool Company (CPC) Program Changes to Capital Pool Company (CPC) Program

By Myreille Gilbert ...

Myreille Gilbert
Banking & Financial Services

Read IIROC guidance clarifies expectations regarding supervision of work from home arrangements... IIROC guidance clarifies expectations regarding supervision... IIROC guidance clarifies expectations regarding supervision of work from home arrangements and registration of business locations

By Cristian O. Blidariu ...

Cristian O. Blidariu
Banking & Financial Services

Read OSC 2021-2022 Statement of Priorities OSC 2021-2022 Statement of Priorities OSC 2021-2022 Statement of Priorities

By Lindsey Mahoney ...

Lindsey Mahoney
Banking & Financial Services

Read Appeals from the Ontario Securities Commission Post-Vavilov Appeals from the Ontario Securities Commission Post-Vavilov Appeals from the Ontario Securities Commission Post-Vavilov

By Simon Cameron ...

Simon Cameron
Banking & Financial Services

Read OSC and IIROC Seek Tips to Help Prosecute Short Sale Market Manipulators OSC and IIROC Seek Tips to Help Prosecute Short Sale Market... OSC and IIROC Seek Tips to Help Prosecute Short Sale Market Manipulators

By Sean D. Sadler ...

Sean D. Sadler
Banking & Financial Services

Read CSA ban on certain mutual fund trailing commissions takes effect June 1st, 2022 CSA ban on certain mutual fund trailing commissions takes ef... CSA ban on certain mutual fund trailing commissions takes effect June 1st, 2022

By Cristian O. Blidariu ...

Cristian O. Blidariu

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