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CSA PUBLISHES SUMMARY OF 2023 SYSTEMIC RISK SURVEY

The Canadian Securities Administrators (CSA) published a summary of the results from its second annual systemic risk survey. The results of this survey provide the CSA with important information on m...

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OSC
OSC PUBLISHES 2023 CORPORATE FINANCE BRANCH REPORT
December 08, 2023

The Ontario Securities Commission (OSC) published its annual Corporate Finance Branch Report, an important resource to help issue...

OSC
NOTICE OF COMING INTO FORCE OF OSC RULE 81-509 EXTENSION TO ONTARIO INSTRUMENT 81-508 TEMPORARY EXEMPTIONS FROM THE OEO TRAILER BAN TO FACILITATE DEALER REBATES OF TRAILING COMMISSIONS AND CLIENT TRANSFERS
December 08, 2023

On December 1, 2023, pursuant to section 143.4 of the Securities Act (Ontario), the following local rule came into force: • OSC R...

OSC
CSA STAFF NOTICE 13-315 (REVISED) SECURITIES REGULATORY AUTHORITY CLOSED DATES 2024
December 08, 2023

The OSC has a review system for prospectuses (including long form, short form and mutual fund prospectuses), prospectus amendment...

ASC
NEW ADVISORY COMMITTEE TO FOSTER CONNECTION BETWEEN TECHNOLOGICAL INNOVATION AND SECURITIES REGULATION
December 08, 2023

The Alberta Securities Commission (ASC) announced the establishment of a new advisory committee that aims to ensure securities re...

Fintrac
FINTRAC IMPOSES AN ADMINISTRATIVE MONETARY PENALTY ON CANADIAN IMPERIAL BANK OF COMMERCE
December 08, 2023

FINTRAC announced that it has imposed an administrative monetary penalty on the Canadian Imperial Bank of Commerce (CIBC), also o...

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