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Regulatory Requirements › Investment › Investor Protection

Stikeman Elliott LLP

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

Stikeman Elliott LLP

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

Stikeman Elliott LLP on

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

Herbert Smith Freehills Kramer

SEC proposes simplification of derivatives rules for closed-end, other funds

Herbert Smith Freehills Kramer on

The SEC voted to propose a rule designed to enhance the regulation of the use of derivatives by registered investment companies, including closed-end funds, as well as mutual funds, ETFs and business development companies....more

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