News & Analysis as of

Canada Regulatory Agenda Investor Protection

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OSC Reviews Restricted Dealer Crypto Asset Trading Platforms

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The Ontario Securities Commission (“OSC”) completed a focused compliance review of the know-your-client (“KYC”), account appropriateness assessment and Client Limit (as defined below) practices of crypto asset trading...more

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CSA Propose Amendments to the Principal Distributor Model for Mutual Funds

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The Canadian Securities Administrators (“CSA”) have published for comment amendments and changes to the principal distributor model in the distribution of mutual fund securities (collectively, the “Proposed Amendments”). The...more

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CSA Seek Comments on Proposed Consolidated SRO and Investor Protection Funds

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Canadian Securities Administrators (CSA) issue a request for comments on draft documents related to the proposed amalgamation of the Investment Industry Regulatory Organization of Canada (IIROC) and the Mutual Fund Dealers...more

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Attention Mining Industry - Now is your Chance to Help Shape Canadian Mineral Project Disclosure Requirements and Modernize NI...

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Mineral project disclosure requirements are being reviewed by the Canadian Securities Administrators (CSA) with an eye to providing investors with more relevant disclosure, and to continue to foster fair and efficient capital...more

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