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 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 ...

| 5 minutes
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 ...

| 4 minutes
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 ...

| 5 minutes
Cristian O. Blidariu
Banking & Financial Services

Read Redefining Significant Acquisitions: Amendments to the BAR Significance Tests Redefining Significant Acquisitions: Amendments to the BAR S... Redefining Significant Acquisitions: Amendments to the BAR Significance Tests

By Patrick Boucher ...

| 3 minutes
Patrick Boucher
Banking & Financial Services

Read Ontario joins the crowd on crowdfunding exemptions Ontario joins the crowd on crowdfunding exemptions Ontario joins the crowd on crowdfunding exemptions

By Cristian O. Blidariu ...

| 3 minutes
Cristian O. Blidariu
Banking & Financial Services

Read Modernization Taskforce Releases Interim Report Modernization Taskforce Releases Interim Report Modernization Taskforce Releases Interim Report

| 6 minutes
Banking & Financial Services

Read CSA’s 2019 Enforcement Report reflects lower level of activity than 2018 CSA’s 2019 Enforcement Report reflects lower level of activi... CSA’s 2019 Enforcement Report reflects lower level of activity than 2018

By Shane C. D'Souza ...

| 2 minutes
Shane C. D'Souza
Banking & Financial Services

Read Registered firms in Canada now have more choices to satisfy Chief Compliance Officer staff... Registered firms in Canada now have more choices to satisfy... Registered firms in Canada now have more choices to satisfy Chief Compliance Officer staffing requirement

By Cristian O. Blidariu ...

| 4 minutes
Cristian O. Blidariu

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