Insights
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Bulletin | Sweet Dreams Edition | March 2024
Just as the right amount and quality of sleep impacts your overall health, we hope these summaries help with your sense of regulatory compliance well-being.
AUM – AML Training
Securities dealers, including CIRO member dealers, are subject to Canada’s anti-money laundering (AML) and anti-terrorist financing (ATF)...
AUM – General Counsel Services
Chief Compliance Officers of securities dealers are regularly confronted with new issues and problems. Sometimes you need help to find a...
CIRO Compliance Priorities for 2024
On March 13, 2024, the Canadian Investment Regulatory Organization (CIRO) released its compliance priorities for the year. There is much...
Updates to CSA Staff Notice on ESG Guidance for Funds
The CSA published additional guidance on ESG investment fund disclosure practices on March 7, 2024. CSA Staff Notice 81-334 (Revised)...
Sleeping Soundly by Dealing with Fee Arrangement Conflicts
Since the CFRs in National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations came into effect the...
Keepin’ up with KYP
Registrants are reminded that your basement is not the only thing that may need some spring cleaning – it may be time to dust off the...
FSRA Releases Proposed Mortgage Licensing Suitability Guidance
On March 6, 2024, the Financial Services Regulatory Authority of Ontario (FSRA) released proposed guidance (Proposed Guidance) outlining...
Additional FINTRAC Sanctions to Action
On February 24, 2024, the Ministerial Directive on Financial Transactions Associated with Russia (the Directive) took effect. The...
CSSB Proposed Disclosures for Night Owls
On March 13, the Canadian Sustainability Standards Board (CSSB) released Canadian Sustainability Disclosure Standards (CSDS) for public...
Requirements re WFH for Registrants
Back in the early (and dark) days of the pandemic, we published our April 2020 Bulletin Working From Home Edition. We followed that up...
Important Reminder: Filing Registrant Financial Statements by April 1 to Rest Assured
A friendly reminder to registrants of the requirement under Part 12 of National Instrument 31-103 Registration Requirements, Exemptions...
Important Reminder: Follow Up re SEDAR+ Profile Updates
In our February bulletin, we wrote about the importance of updating your SEDAR+ profile if the information contained in the profile is...
AUM – Policies and Procedures
In a busy dealer compliance department, it is always difficult to find time to update and maintain dealer policies and procedures,...
AUM – Registrations
Securities registrations can be complex and time consuming, especially if experienced staff are not available to manage the process....
OSC Releases Digital Engagement Report – Finding Stability Amidst Change
In its latest draft Statement of Priorities, the Ontario Securities Commission (OSC) indicated some concerns with advice being provided by...