01/06/2022 - Effective date of Amendments to National Instrument 81-105 Mutual Fund Sales Practices and Related Consequential Amendments...

According to the CFA Institute, the most common definition of a derivative is that it is “a financial instrument that derives its...

Since the 2013 IOSCO report on Principles for the Regulation of Exchange Traded Funds (ETFs), the ETF market has significantly grown with...

The Report on the State of Effectiveness and Compliance with the FATF Standards, (the Report) published on April 19, 2022, provides a...

On April 29, 2022, the European Securities and Markets Authority (ESMA) published recommendations to improve investor protection relating...

Released on April 5 by the European Commission (EC), the Consultation Paper purpose is to gather further information on expected impacts...

Introduced on March 30 through Bill 13, the Financial Innovation Act (FIA), if passed, will create a regulatory sandbox for financial...

On April 7, the Canadian Securities Administrators (CSA) released for feedback its Proposed Amendments and Proposed Changes to Implement...

Published on April 27 by the Canadian Securities Administrators (CSA) and the Canadian Council of Insurance Regulators (CCIR), the Joint...

On April 14, the Investment Industry Regulatory Organization of Canada (IIROC) republished for comment its Proposed Derivatives Rule...

On April 27, the Office of the Superintendent of Financial Institutions (OSFI) released its Draft Guideline B-10 - Third-Party Risk...

On April 5, 2022, the Department of Finance released amending regulations (Regulations) to the regulations under the Proceeds of Crime...

According to the Canadian Centre for Cyber Security, ‘encryption encodes (or scrambles) information. Encryption protects the...

Published on February 17, by the Bank of England (BoE) and the UK Financial Conduct Authority (FCA), the Final Report aims to foster a...

In a document released on March 17, the European Supervisory Authorities (EBA, ESMA and EIOPA – the ESAs) warns consumers on the risks of...

The Sustainable Finance Roadmap sets out the European Securities and Markets Authority (ESMA) priority areas in sustainable finance for...

Released on March 21, the Proposed Rules would strengthen the requirements under the Securities Act of 1933 (‘Securities Act’) and...

On March 24, the International Organisation of Securities Commissions (‘IOSCO’) issued a comprehensive Report setting out how...

Through an Enforcement Notice published on March 2, the Advertising Standards Authority (ASA), instructed impacted firms to review their...

On March 24, the UK Financial Conduct Authority (FCA) issued a Notice reminding regulated entities of their regulatory obligations when...