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 CSA Finalizes Client Focused Reforms CSA Finalizes Client Focused Reforms CSA Finalizes Client Focused Reforms

By Sonia J. Struthers ...

Sonia J. Struthers
Banking & Financial Services

Read CSA Published Guidance on Expectations for Compliance Consultants Performing Regulatory Ma... CSA Published Guidance on Expectations for Compliance Consul... CSA Published Guidance on Expectations for Compliance Consultants Performing Regulatory Mandates

By Rene Sorell ...

Rene Sorell
Banking & Financial Services

Read OSC and CSA Publish Priorities for the Coming Years OSC and CSA Publish Priorities for the Coming Years OSC and CSA Publish Priorities for the Coming Years

By Robert O. Hansen ...

Robert O. Hansen
Banking & Financial Services

Read SEC Issues “No-Action” Letter in Connection with the Sale of Digital Tokens by Pocketful o... SEC Issues “No-Action” Letter in Connection with the Sale of... SEC Issues “No-Action” Letter in Connection with the Sale of Digital Tokens by Pocketful of Quarters

By Dean C. Masse ...

Dean C. Masse
Banking & Financial Services

Read IIROC Proposes Significant Changes to Continuing Education Rules IIROC Proposes Significant Changes to Continuing Education R... IIROC Proposes Significant Changes to Continuing Education Rules

By Cristian O. Blidariu ...

Cristian O. Blidariu
Banking & Financial Services

Read SEC/FINRA Joint Statement on Broker-Dealer Custody of Digital Asset Securities SEC/FINRA Joint Statement on Broker-Dealer Custody of Digita... SEC/FINRA Joint Statement on Broker-Dealer Custody of Digital Asset Securities

By Sonia J. Struthers ...

Sonia J. Struthers
Banking & Financial Services

Read A Global Review of the Regulatory Considerations Relating to Crypto-Asset Trading Platform... A Global Review of the Regulatory Considerations Relating to... A Global Review of the Regulatory Considerations Relating to Crypto-Asset Trading Platforms

By Sonia J. Struthers ...

Sonia J. Struthers
Banking & Financial Services

Read CSA Proposes Streamlining of Rules for At-The-Market Offerings CSA Proposes Streamlining of Rules for At-The-Market Offerin... CSA Proposes Streamlining of Rules for At-The-Market Offerings

By Andrew Parker ...

Andrew Parker

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