Aggregated News From Investment Management Regulators

Canada

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Volume 44, Issue 29

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OSC Staff Notice 15-707 Enforcement Investigation Guidance

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OSC Staff Notice 15-708 Document Production Guidance

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Companion Policy 25-102 Designated Benchmarks and Benchmark Administrators

Introduction This companion policy (the “Policy”) provides guidance on how the Canadian Securities Administrators (“we”) interpret various matters in Multilateral Instrument 2

Canadian securities regulators issue warning about suspicious emails

Montreal – The Canadian Securities Administrators (CSA) has been monitoring its systems for unusual activities after several registrants received e-mails that purport to come from CSA staff.

Companion Policy 25-501 (Commodity Futures Act) Designated Benchmarks and Benchmark Administrators

PART 1 GENERAL COMMENTS Introduction This companion policy (the “Policy”) provides guidance on how the Ontario Securities Commission (the “Commission” or “we”) int

Ontario Securities Commission Rule 25-501 (Commodity Futures Act) Designated Benchmarks and Benchmark Administrators

PART 1 DEFINITIONS AND INTERPRETATION Definitions and interpretation 1.

Ontario Securities Commission Rule 11-501 Electronic Delivery of Documents to the Ontario Securities Commission

CONSEQUENTIAL AMENDMENTS TO ONTARIO SECURITIES COMMISSION RULE 11-501 ELECTRONIC DELIVERY OF DOCUMENTS TO THE ONTARIO SECURITIES COMMISSION 1.

OSC Staff Notice 81-732 Investment Fund Survey

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Regulator Information

Abbreviation: BCSC
Jurisdiction: Canada
Email: [email protected]
Abbreviation: CSA
Jurisdiction: Canada
Email: [email protected]
Abbreviation: FCNB
Jurisdiction: Canada
Email: [email protected]
Regulator Name: Financial Markets Authority
Abbreviation: AMF
Jurisdiction: Canada
Abbreviation: IIROC
Jurisdiction: Canada
Email: [email protected]
Abbreviation: MSC
Jurisdiction: Canada
Email: [email protected]
Abbreviation: OSC
Jurisdiction: Canada
Email: [email protected]

Recent Articles

SEC Charges 27 Financial Firms for Form CRS Filing and Delivery Failures

The Securities and Exchange Commission today announced that 21 investment advisers and 6 broker-dealers have agreed to settle charges that they failed to timely file and deliver their client or custo

SEC Issues Substituted Compliance Determination for France

The Securities and Exchange Commission today announced the approval of a substituted compliance determination order with respect to security-based swap dealers and major security-based swap participa

BankDeFx LTD

Attention! The FMA warns investors against concluding transactions with: BankDeFx LTD https://bankdefx.com/ [email protected] [email protected] [email protected] [email protected] This provider is not authorised to carry out banking transactions in Austria that require a...

New appointments to the Executive Team

Published on: 23 July 2021 The Authority is pleased to announce 2 new appointments to the Executive Team.

Appointment of two new Board Members

The FSA is pleased to announce the appointment of two new members to the Board – Lucy McClements and Jo Hill. Lucy and Jo’s bios can be found at: https://www.iomfsa.

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