IIAC has formed a CRM2 working group
The OSC has announced one-time relief on participation fees for certain small registered firms and reporting issuers.
The Canadian Securities Administrators (CSA) today released its annual Enforcement Report. Members concluded a total of 133 cases against 216 individuals and 166 companies.
On December 10, 2013, a hearing panel of the Investment Industry Regulatory Organization of Canada reviewed findings against Rajiv Puri.
The OSC has announced that as of February 19, 2014, all market participants will be required to electronically file a number of documents that have traditionally been filed in paper format with the OSC. While Rule 11-501 – Electronic Delivery of Documents to the Ontario Securities Commission officially takes effect on this date, these electronic services are currently available for participants that wish to start filing these documents electronically.
Being an executor isn’t easy. That goes double for executors in charge of an estate with significant U.S. assets, or a fully U.S. domiciled estate. It’s complicated. And what executors don’t know about U.S. reporting regulations and tax laws can hurt them.
The OSC has published OSC Staff Notice 51-722 Report on a Review of Mining Industry Issuers MD&A and Guidance, which provides guidance to assist small mining issuers in complying with the Management’s Discussion and Analysis (MD&A) requirements in National Instrument 51-102 Continuous Disclosure Obligations.
Your clients have their own regulatory headaches.
OSC adds to previous warning sent out in 2012.
The Canadian Securities Administrators (CSA) today published for comment proposed amendments relating to the short-term debt prospectus exemption in National Instrument 45-106Prospectus and Registration Exemptions.