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Bulletin: Canadian Regulators Enforcement Update - January 2024
CASES HIGHLIGHTED: FRAUD / MISLEADING STATEMENTS / FAILURE TO DISCLOSE This bulletin presents a comprehensive update on recent...
Jan 4, 20246 min read


Highlights of OSC Staff Notice 81-734 Summary Report for Investment Fund &Structured Product Issuers
On September 13, 2023, the Ontario Securities Commission (OSC) issued Staff Notice 81-734. The Summary Report (Report) offers a...
Nov 22, 202312 min read


SEC ADOPTS SIGNIFICANT RULE CHANGES FOR PRIVATE INVESTMENT ADVISERS
On August 23, 2023, the Securities and Exchange Commission (SEC) adopted new rules and rule amendments to the Investment Adviser’s Act....
Aug 29, 20236 min read
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