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OSC Publishes Annual Compliance Report for Dealers, Advisers and Investment Fund Managers for 2022-2023

The Ontario Securities Commission (“OSC”) recently released its annual Summary Report for Dealers, Advisers and Investment Fund Managers (the “Report”), prepared by the Compliance and Registrant Regulation Branch, for the...more

9/14/2023 / Canada , Compliance , Fund Managers , Investment Funds , Ontario Securities Commission (OSC) , Popular , Recordkeeping Requirements , Regulatory Oversight

Now in Effect: Exemptions for International Dealers and Advisers Under the Ontario Commodity Futures Act

On October 17, 2022, Ontario Securities Commission (OSC) Rule 32-506 (Commodity Futures Act) Exemptions for International Dealers, Advisers and Sub-Advisers (OSC Rule 32-506) and amended OSC Rule 91-502 Trades in Recognized...more

10/31/2022 / Canada , Commodity Futures Contracts , Commodity Sale Agreements , Dealers , Exemptions , Ontario Securities Commission (OSC) , Regulatory Requirements

Burden Reduction for Registrants Effective June 2022: Outside Activities Clarified and Registration Requirements Simplified

Final amendments to National Instrument 33-109 Registration Information (NI 33-109) and related instruments (the Final Amendments) clarify outside activity reporting requirements, among other things. The Ontario Securities...more

3/10/2022 / Canada , Canadian Securities Administration , Financial Instruments , Ontario Securities Commission (OSC) , Registration Requirement , Regulatory Burden , Regulatory Reform , Regulatory Requirements , Securities Regulation , Securities Transactions

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