Canadian securities administrators publish final amendments to syndicated mortgage regime

Toronto – The Canadian Securities Administrators (CSA) today published final amendments that substantially harmonize the regulatory framework for syndicated mortgages in Canada. These final amendments will: remove the prospectus and...

Canadian securities administrators publish IIROC oversight review report

Toronto – The Canadian Securities Administrators (CSA) today released its Oversight Review Report of the Investment Industry Regulatory Organization of Canada (IIROC), which evaluates whether IIROC has complied with the...

Ontario introduces interim registration and prospectus exemptions to facilitate start-up securities crowdfunding

Toronto – The Canadian Securities Administrators (CSA) today announced that in light of COVID-19 and the challenges it presents to small businesses seeking to raise capital, the Ontario Securities Commission...

Canadian securities regulators introduce guidance for flexible chief compliance officer arrangements for businesses

Toronto –The Canadian Securities Administrators (CSA) today announced guidance that will allow firms to implement more flexible chief compliance officer (CCO) arrangements that better align with their operational needs and business...

Canadian securities regulators seek comment on self-regulatory organization framework

Vancouver and Toronto – The Canadian Securities Administrators (CSA) today announced that it is seeking input from investors, industry and the public on the framework for self-regulatory organizations (SROs) in Canada....

Canadian Securities Administrators 2020 Investor Index

Canadians’ self-reported risk tolerance has remained relatively unchanged since 2017, despite a rapidly changing economic environment in 2020 Calgary – A survey conducted for the Canadian Securities Administrators (CSA) shows...

Canadian securities regulators collaborate to protect investors and enforce securities law: CSA Fiscal Year 2019/20 Enforcement Report

Report highlights CSA member efforts to detect, disrupt and deter securities misconduct Montreal – The Canadian Securities Administrators (CSA) today released its fiscal year 2019/20 Enforcement Report, which outlines how securities regulators...

Securities regulators mark WEAAD with campaign encouraging Canadians to learn and watch for signs of financial abuse of older adults

Halifax – The Canadian Securities Administrators (CSA) is reminding all Canadians to be aware of the signs of financial elder abuse on World Elder Abuse Awareness Day (WEAAD), June 15,...

Canadian securities regulators sign fintech co-operation agreement with the Financial Supervisory Commission of Taiwan

Montreal – Members of the Canadian Securities Administrators (CSA) have signed a fintech co-operation agreement with the Financial Supervisory Commission of Taiwan (FSC). The members are the securities regulatory authorities...

Canadian securities regulators make it easier for portfolio managers to use client relationship management specialists

Toronto – The Canadian Securities Administrators (CSA) today announced steps to facilitate portfolio managers’ use of client relationship management specialists. These actions aim to better align the CSA’s assessment of...