Financial Services Regulatory Financial Services Regulatory

Financial services regulation in 2021: Back to business

After the tumult of 2020, 2021 was marked by a return to regulatory functions, as well as growth in key areas.

WKSI pilot program comes to Canada, plus issuers and registrants face extended OSC review timelines

Canadian Securities Administrators announce “well-known seasoned issuer” pilot program, and the Ontario Securities Commission says it has...

Staff successfully appeals decision of its own self-regulatory organization

Staff of the Mutual Fund Dealers Association of Canada successfully appealed a decision of its own self-regulatory organization hearing panel last...

Canadian Securities Administrators’ proposed climate-related disclosure requirements

The Canadian Securities Administrators recently (CSA) proposed National Instrument 51-107 Disclosure of Climate-related Matters and companion policy.

Further steps taken towards financial title regulation

The titles used by financial professionals are some times confusing for investors and consumers.

Nasdaq’s new progressive board diversity listing requirement

A majority of SEC Commissioners have approved Nasdaq proposals to introduce new board diversity listing requirements, becoming the first regulator in...

Federal Financial Consumer Protection Framework in-force date announced, new regulations published

The new federal Financial Consumer Protection Framework is now set to come into force on June 30, 2022. In their Update, Osler’s Haley Adams and...

FINTRAC gets flexible with new anti-money laundering requirements

Osler’s Elizabeth Sale and Haley Adams break down the substantial legislative amendments and FINTRAC’s comprehensive guidance documents aimed at...