2021
Alberta and Saskatchewan securities regulators adopt new small business financing prospectus exemption
Securities Commission
Alberta and Saskatchewan securities regulators adopt new small business financing prospectus exemption Aug 31, 2021 Calgary – The Alberta Securities Commission (ASC) and the Financial and Consumer...
2021
Alberta and Saskatchewan securities regulators adopt new small business financing prospectus exemption
Securities Commission
Alberta and Saskatchewan securities regulators adopt new small business financing prospectus exemption Sep 01, 2021 Calgary – The Alberta Securities Commission (ASC) and the Financial and Consumer...
2021
Canadian securities administrators to host roundtable on ESG-related regulatory issues in asset management
Securities Commission
Canadian securities administrators to host roundtable on ESG-related regulatory issues in asset management Aug 25, 2021 TORONTO – The Canadian Securities Administrators (CSA) today announced that ...
2021
ASC finds Edmonton businessman guilty of fraud
Securities Commission
ASC finds Edmonton businessman guilty of fraud Aug 16, 2021 CALGARY – August 16, 2021 – The Alberta Securities Commission (ASC) has issued a decision finding that New Wave Innovations Ltd., 1111...
2021
ASC sanctions Ashmit Patel, Zulfikar Rashid and Kilimanjaro Capital Ltd. for market manipulation
Securities Commission
ASC sanctions Ashmit Patel, Zulfikar Rashid and Kilimanjaro Capital Ltd. for market manipulation Aug 18, 2021 CALGARY – August 18, 2021 – The Alberta Securities Commission (ASC) has sanctioned A...
2021
Canadian securities regulators propose streamlined capital raising option for Canadian-listed issuers
Securities Commission
Canadian securities regulators propose streamlined capital raising option for Canadian-listed issuers Jul 28, 2021 Vancouver – The Canadian Securities Administrators (CSA) is proposing to introduc...
2021
Canadian securities regulators to establish new single enhanced self-regulatory organization
Securities Commission
Canadian securities regulators to establish new single enhanced self-regulatory organization Aug 03, 2021 The new SRO, as described in today’s publication of [CSA Position Paper 25-404 New Self-Re...
2021
Canadian securities regulators seek comments on proposal to harmonize the interpretation of the Primary Business Requirements
Securities Commission
Canadian securities regulators seek comments on proposal to harmonize the interpretation of the Primary Business Requirements Aug 12, 2021 Montreal and Toronto – The Canadian Securities Administra...
2021
Canadian securities regulators issue warning about suspicious emails
Securities Commission
Canadian securities regulators issue warning about suspicious emails Jul 15, 2021 Montreal – The Canadian Securities Administrators (CSA) has been monitoring its systems for unusual activities aft...
2021
Securities regulators announce Canadian firm selected for cross-border testing
Securities Commission
Securities regulators announce Canadian firm selected for cross-border testing Jul 15, 2021 TORONTO – The Ontario Securities Commission (OSC), the Autorité des marchés financiers (AMF), the Albe...
2021
ASC issues oral ruling on Brookfield, IPL and Pembina applications
Securities Commission
ASC issues oral ruling on Brookfield, IPL and Pembina applications Jul 13, 2021 CALGARY – July 13, 2021 – An Alberta Securities Commission (ASC) panel issued an oral ruling July 12 on applicatio...
2021
Canadian securities regulators publish final amendments to enhance protection of older and vulnerable clients
Securities Commission
Canadian securities regulators publish final amendments to enhance protection of older and vulnerable clients Jul 15, 2021 Saint John and Toronto – The Canadian Securities Administrators (CSA) pub...
2021
Canadian securities regulators publish IIROC oversight review report
Securities Commission
Canadian securities regulators publish IIROC oversight review report Jun 25, 2021 Toronto – The Canadian Securities Administrators (CSA) today released its [Oversight Review Report of the Investme...
2021
Canadian securities regulators release interim progress report on the CSA 2019-2022 Business Plan
Securities Commission
Canadian securities regulators release interim progress report on the CSA 2019-2022 Business Plan Jul 06, 2021 Montreal – The Canadian Securities Administrators (CSA) today released its second int...
2021
Canadian securities regulators sign innovative functions co-operation agreement with the Securities and Futures Commission of Hong Kong
Securities Commission
Canadian securities regulators sign innovative functions co-operation agreement with the Securities and Futures Commission of Hong Kong Jul 08, 2021 Montreal and Hong Kong – Members of the Canadia...
2021
Canadian securities regulators adopt new nationally harmonized start-up crowdfunding rules
Securities Commission
Canadian securities regulators adopt new nationally harmonized start-up crowdfunding rules Jun 23, 2021 Vancouver – The Canadian Securities Administrators (CSA) today adopted harmonized rules for ...
2021
Canadian securities regulators sign fintech co-operation agreement with the Financial Services Commission, Mauritius
Securities Commission
Canadian securities regulators sign fintech co-operation agreement with the Financial Services Commission, Mauritius Jun 23, 2021 Montreal and Ebene – Members of the Canadian Securities Administra...
2021
CSA 2020/2021 Enforcement Report highlights commitment of Canadian securities regulators during unprecedented times
Securities Commission
CSA 2020/2021 Enforcement Report highlights commitment of Canadian securities regulators during unprecedented times Jun 22, 2021 Market Analysis Platform launched to identify and analyze market misc...
2021
Securities regulators’ study reveals many Canadians unaware of the signs of financial elder abuse
Securities Commission
Securities regulators’ study reveals many Canadians unaware of the signs of financial elder abuse Jun 15, 2021 Initiatives launched across Canada to raise awareness ahead of World Elder Abuse Awar...
2021
Joint Forum of Financial Market Regulators engages with industry and investor groups on investment fee transparency
Securities Commission
Joint Forum of Financial Market Regulators engages with industry and investor groups on investment fee transparency Jun 14, 2021 Montreal – The Joint Forum of Financial Market Regulators (Joint Fo...
2021
JSOT criminally charges William Jordan McBean with fraud and theft
Securities Commission
JSOT criminally charges William Jordan McBean with fraud and theft May 31, 2021 CALGARY – May 31, 2021 – The Alberta Securities Commission (ASC) and the Alberta RCMP Federal Policing Integrated ...
2021
CSA Investor Alert: Investment scams imitating well-known financial brands
Securities Commission
CSA Investor Alert: Investment scams imitating well-known financial brands May 31, 2021 Toronto– The Canadian Securities Administrators (CSA) is warning the public about scammers claiming to repre...
2021
ASC dismisses allegations against Roadman Investments Corp. and Luke Montaine
Securities Commission
ASC dismisses allegations against Roadman Investments Corp. and Luke Montaine May 28, 2021 CALGARY – May 28, 2021 – An Alberta Securities Commission (ASC) panel has dismissed allegations that Ro...
2021
Canadian securities regulators publish final rule for non-GAAP and other financial measures
Securities Commission
Canadian securities regulators publish final rule for non-GAAP and other financial measures May 27, 2021 Calgary and Montreal – The Canadian Securities Administrators (CSA) today published disclos...
2021
Canadian securities regulators seek comment on proposal to streamline continuous disclosure requirements
Securities Commission
Canadian securities regulators seek comment on proposal to streamline continuous disclosure requirements May 20, 2021 Calgary and Toronto – The Canadian Securities Administrators (CSA) is proposin...