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Searching Content indexed under Fund Management/ REITs by Stikeman Elliott LLP ordered by Published Date Descending.
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1
OSC Compliance And Registrant Regulation Branch Flags Areas Of Concern With Registrant Compliance
On August 8, the Ontario Securities Commission (OSC) Compliance and Registrant Regulation Branch (CRR) published a Summary Report for Dealers,...
Canada
2 Oct 2019
2
La direction de la réglementation des personnes et compagnies inscrites et de la conformité de la CVMO s'inquiète de la conformité des inscrits
e 8 août, la direction de la réglementation des personnes et compagnies inscrites et de la conformité (la « direction »)
Canada
12 Sep 2019
3
La lutte contre le blanchiment d'argent s'étendra à la monnaie virtuelle et aux ESM étrangères
Les modifications tant attendues de la législation fédérale canadienne sur la lutte contre le blanchiment d'argent s'appliqueront désormais expressément aux entreprises de services
Canada
9 Sep 2019
4
Les ACVM élaborent un projet de règlement pour remplacer les décisions de dispense locales sur le financement participatif
Les Autorités canadiennes en valeurs mobilières ont annoncé dernièrement la mise au point d'un projet de règlement censé remplacer les décisions locales existantes des diverses provinces qui accordent actuellement les dispenses de prospectus ...
Canada
5 Jun 2019
5
Un examen de la dispense simplifiée relative au placement de droits révèle un accès amélioré aux capitaux, mais des problèmes persistent
Selon un rapport publié dernièrement par les ACVM, plus de 500 millions de dollars ont été réunis par des émetteurs assujettis canadiens depuis l'adoption en 2015 ...
Canada
27 Nov 2018
6
Un tribunal de la C.-B. statue que l'obligation de « prendre tous les moyens nécessaires » ne s'applique pas automatiquement à toutes les conditions de financement
La Cour d'appel de la Colombie-Britannique a confirmé un jugement qui a refusé d'obliger l'acheteur à « prendre tous les moyens nécessaires » pour respecter une condition de financement stipulée dans une convention d'acquisition immobilière.
Canada
16 Nov 2018
7
Les ACVM entendent contrôler la négociation de créances admissibles à la recapitalisation interne par des courtiers en valeurs mobilières
Ces territoires ont également renforcé le pouvoir gouvernemental de traitement rapide des prêteurs en difficulté.
Canada
9 Nov 2018
8
Continuing Education In The Mutual Fund Industry: MFDA Publishes Proposal For Comment
On March 22, 2018, the Mutual Fund Dealers Association of Canada (MFDA) released a proposed Rule and Policy that will, when implemented, create new continuing education (CE) requirements for mutual fund dealers, their registered Dealing Representatives and certain other persons employed by dealers.
Canada
9 Apr 2018
9
Securities Regulators Sign MOU With Gibraltar Financial Services Commission
Managers of alternative investment funds involved in cross border operations and activities in the European Union and Canada should take note that a supervisory Memorandum of Understanding ...
Canada
9 Feb 2018
10
NI 31-103 Amendments: EMDs Banned From Prospectus Offerings
Under a series of amendments to National Instrument 31-103 – Registration Requirements, Exemptions and Ongoing Registrant Obligations published on July 27, 2017, the CSA have banned exempt market dealers ...
Canada
4 Aug 2017
11
IIROC Proposed Amendments To Client ID and Verification Requirements: The Argument For Red Tape Reduction
On July 6, 2017, IIROC published for comment IIROC Notice 17-0139 Proposed Amendments to Client Identification and Verification Requirements.
Canada
19 Jul 2017
12
CSA Sweep Uncovers Small Firm Business Continuity Plan Deficiencies
The Canadian Securities Administrators (CSA) recently released the results of a compliance review focused on sole proprietorships and other firms with just one registered individual.
Canada
31 May 2017
13
Red Tape Reduction For Funds And Managers Among OSC's Priorities
Initiatives of interest to funds and managers feature prominently in the Ontario Securities Commission's 2017-2018 Draft Statement of Priorities.
Canada
9 May 2017
14
Red Tape Reduction For Funds And Managers Among OSC's Priorities
It was published on March 23, 2017, with a 60 day comment period as noted below.
Canada
5 May 2017
15
OSC Investor Panel Supports "Best Interest" Standard And Ban On Conflicted Advice By Investment Advisors
Encouraging the adoption of a best interest standard for investment advisors continues to be a key goal of the Investor Advisory Panel of the Ontario Securities Commission, according to the IAP's...
Canada
27 Apr 2017
16
Canadian Regulators Look To Reduce Public Company Compliance Burden And Facilitate Capital Raising
A Consultation Paper identifying areas of securities legislation where the regulatory burden on non-investment fund reporting issuers could be reduced was published for comment by the CSA on April 6, 2017.
Canada
24 Apr 2017
17
Trouble Scoring? Just Increase The Size Of The Net
The Liberals ran for office on a pledge of running deficits of no more than $10 billion per year until the time of the next election, when the books would be balanced.
Canada
23 Mar 2017
18
Hedge Fund Investments Survive Section 94.1 Challenge
Although based in low-tax jurisdictions, Tax Court finds business reasons for investments overshadowed their tax benefits.
Canada
3 Oct 2016
19
Gerbro Inc. v. The Queen: Clarifying The Landscape For Canadians Investing In Offshore Hedge Funds
On July 22, 2016, the Tax Court of Canada released its highly anticipated decision in Gerbro v. R dealing with the offshore investment fund property rules in section 94.1 of the Income Tax Act.
Canada
19 Sep 2016
20
Online Business Models And Findings From Compliance Reviews Are The Focus Of OSC Annual Registrant Report
An update on registration initiatives, including the registration of online business models, and current trends in deficiencies and acceptable practices of market participants are the focus of OSC annual summary report.
Canada
22 Aug 2016
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