Information About Canadian Securities Regulatory Monitor
Recent Posts
Below is a preview of the five most recent posts from the blog Canadian Securities Regulatory Monitor. To read these posts in their entirely or subscribe to future updates from this blog, please visit their website!
- IIROC guidance clarifies expectations regarding supervision of work from home arrangements and registration of business locations
Given the move to more permanent work from home (WFH) arrangements by some dealer firms, the Investment Industry Regulatory Organization of Canada (IIROC) recently published Guidance on WFH arrangements. The Guidance clarifies IIROC’s expectations relating to the registration of a “business location … Read more »
- OSC 2021-2022 Statement of Priorities
In keeping with its regular practice, the Ontario Securities Commission (the “OSC”) has opened a 30 day window ending December 16 to request comments on the Statement of Priorities for the financial year to end March 31, 2022. The 2021-2022 Statement of Priorities sets out four strategic goals discu … Read more »
- Appeals from the Ontario Securities Commission Post-Vavilov
The Supreme Court of Canada’s decisions in companion appeals Canada (Minister of Citizenship and Immigration) v. Vavilov and Bell Canada v. Canada (Attorney General) established a revised framework for appellate and judicial review of administrative law matters, which applies to the decisions of sec … Read more »
- OSC and IIROC Seek Tips to Help Prosecute Short Sale Market Manipulators
The Ontario Securities Commission (OSC) and the Investment Industry Regulatory Organization of Canada (IIROC) have issued a joint press release encouraging the public to submit tips to the OSC and IIROC whistleblower programs on potential abusive trading in securities of Ontario reporting issuers, i … Read more »
- CSA ban on certain mutual fund trailing commissions takes effect June 1st, 2022
The Canadian Securities Administrators (CSA) are adopting amendments (Amendments) that, effective June 1, 2022, will: prohibit trailing commission payments by investment fund managers, portfolio advisers and principal distributors of publicly-offered mutual funds (collectively with their respective … Read more »