My Blog List

Monday, 24 July 2017

OSC Publishes 2017-2018 Statement of Priorities

The Ontario Securities Commission (OSC) today published its 2017-2018 Statement of Priorities, which sets out the 15 priority areas where the OSC intends to focus its resources and actions over the coming fiscal year, as well as the expected outcomes.   

The full notice can be viewed here

Thursday, 13 July 2017

The Requirement for True and Complete Applications for Registration - CSA

Canadian securities regulators are calling out industry firms and personnel for submitting false or misleading registration applications. Effective immediately, the CSA is adopting new reporting forms that are intended to make it easier for the regulators to assess "the nature and quality" of the enhanced supervision that firms are providing.

The CSA notice can be viewed here.

Wednesday, 12 July 2017

New Disclosure Obligation for Quebec Registrants – Fasken

Fasken Martineau's Investment Products and Wealth Management team wishes to remind dealers and advisers registered under the Securities Act (Quebec) (the "registrants") that as of June 19, 2017, registrants are subject to a new financial information disclosure obligation. Registrants whose main regulator is the Autorité des marchés financiers (the "AMF") must now complete a new annual form.


The complete Fasken notice can be viewed here.

Friday, 7 July 2017

Superficial Loss Rules - Rotfleisch & Samulovitch P.C.

This topic is often raised by PM’s or IB’s when they are assisting a client who has an investment with an unrealized capital loss for tax purposes.


Please refer to this Guide by Rotfleisch & SamulovitchP.C. for a summary of the superficial loss rules. 

Thursday, 6 July 2017

Tax Facts & Figures: Canada 2017 – PWC

PwC’s 40th edition of Tax facts and figures will help you stay up-to-date on the federal – as well as provincial and territorial – tax changes and determine which apply to you or your company. What’s more – it puts individual and corporate tax rates and tax deadlines at your fingertips.


The full FAQ can be viewed here.

Tuesday, 4 July 2017

Changing Expectations of the OSC for Fund of Funds – AUM Law

Over the years I have learned the power of “keeping your ear to the ground” and this short article from AUM Law will be of interest to fund managers with a fund on fund or planning to launch one.

The complete article can be viewed here.

Monday, 26 June 2017

Cyber Risks for Small & Midsize Businesses – R Banham

55% of SMBs experienced a cyberattack in the last year. This report details how mid and smaller sized businesses can properly protect private information from breaches, design and implement a cybersecurity policy, and create safeguards for training and education.

The article can be viewed here.