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Canada Regulatory Oversight Capital Markets

Stikeman Elliott LLP

OSC Publishes Summary Report for Dealers, Advisers and Investment Fund Managers for 2023-2024

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The Registration, Inspections and Examinations Division (“RIE”) of the Ontario Securities Commission (“OSC”) has released its annual Summary Report for Dealers, Advisers and Investment Fund Managers (the “Report”) for the...more

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CSA Release First Oversight Reports on CIRO and CIPF

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On March 28, 2024, the Canadian Securities Administrators (“CSA”) published two reports (the “Reports”) relating to their oversight of the Canadian Investment Regulatory Organization (“CIRO”) and the Canadian Investor...more

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Sunny Days: New SRO Officially Named “Canadian Investment Regulatory Organization”

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The New Self-Regulatory Organization of Canada (“New SRO”) changed its name to “Canadian Investment Regulatory Organization” (“CIRO”) on June 1, 2023. The former Investment Industry Regulatory Organization of Canada...more

Stikeman Elliott LLP

CSA Publish 2022 Annual Oversight Report on SROs and IPFs

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The Canadian Securities Administrators (CSA) recently released their 2022 Annual Activities Report (Report) summarizing their key oversight activities and assessments of self-regulatory organizations (SROs) and investor...more

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OSC Undertaking Consultation on Tied Selling

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Late last month, the Ontario Securities Commission (OSC) announced that it was undertaking a consultation process in regards to the practice of tied selling among commercial lenders. The announcement follows a request by...more

Bennett Jones LLP

Oil & Gas Exploration & Production Initial Public Offering Checklist

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Canada’s world leading oil and gas capital markets offer a wealth of opportunity, with their access to local and global natural resources, finance opportunities for companies at all stages, and sophisticated technical...more

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