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’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
Banking & Financial Services

Read CSA relaxes rules for advisors who don’t pick stocks CSA relaxes rules for advisors who don’t pick stocks CSA relaxes rules for advisors who don’t pick stocks

By Cristian O. Blidariu ...

| 3 minutes
Cristian O. Blidariu
Banking & Financial Services

Read CSA Streamlines Rules for At-The-Market Offerings CSA Streamlines Rules for At-The-Market Offerings CSA Streamlines Rules for At-The-Market Offerings

By Patrick Boucher ...

| 7 minutes
Patrick Boucher
Banking & Financial Services

Read CSA issues additional temporary relief to investment funds and non-investment fund issuers... CSA issues additional temporary relief to investment funds a... CSA issues additional temporary relief to investment funds and non-investment fund issuers for certain regulatory filing deadlines

By Firuz Rahimi ...

| 2 minutes
Firuz Rahimi
Banking & Financial Services

Read CSA Publishes Guidance on Continuous Disclosure Obligations in the Context of COVID-19 CSA Publishes Guidance on Continuous Disclosure Obligations... CSA Publishes Guidance on Continuous Disclosure Obligations in the Context of COVID-19

By Sonia J. Struthers ...

| 6 minutes
Sonia J. Struthers
Banking & Financial Services

Read Highlights from IIROC’s Annual Enforcement Report for 2019 Highlights from IIROC’s Annual Enforcement Report for 2019 Highlights from IIROC’s Annual Enforcement Report for 2019

By Drew Wong ...

| 2 minutes
Drew Wong
Banking & Financial Services

Read Ontario Court of Appeal limits use of US case law to reduce scope of Ontario Securities Ac... Ontario Court of Appeal limits use of US case law to reduce... Ontario Court of Appeal limits use of US case law to reduce scope of Ontario Securities Act

By Shane C. D'Souza ...

| 6 minutes
Shane C. D'Souza

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