Information About Registrant Law Regulatory Updates
Recent Posts
Below is a preview of the five most recent posts from the blog Registrant Law Regulatory Updates. To read these posts in their entirely or subscribe to future updates from this blog, please visit their website!
- CCO Report to the Board
One of the responsibilities of the Chief Compliance Officer (CCO) of a registered firm is to submit an annual report to the firm’s board of directors, or individuals acting in a similar capacity for the firm, for the pur…
Read more » - CSA AI Guidance
In December 2024, the CSA published a Staff Notice and Consultation to provide guidance and clarity on how securities legislation applies to the use of artificial intelligence systems by market participants (CSA AI Guida…
Read more » - Regulatory settlement agreement re Client Focused Reforms
In one of the first settlement agreements since the implementation of the Client Focused Reforms, the British Columbia Securities Commission (BCSC) entered into a settlement agreement with a portfolio management firm for…
Read more » - AML sanctions changes
Effective August 19, 2024, firms must report transactions suspected to be related to sanctions evasion to FINTRAC. That means, in addition to reporting transactions (or attempted transactions) where there are reasonabl…
Read more » - OSC Summary Report
On July 26, 2024, the Ontario Securities Commission (OSC) issued Staff Notice 33-756: Summary Report for Dealers, Advisers and Investment Fund Managers (OSC Summary Report). The OSC publishes such reports annually, and o…
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