Tim Phillips

Blake, Cassels & Graydon LLP

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Le Groupe de travail sur la modernisation relative aux marchés financiers de l’Ontario publie son rapport final

Le Groupe de travail sur la modernisation relative aux marchés financiers de l’Ontario (le « groupe de travail ») a récemment soumis au ministre des Finances de l’Ontario son rapport final (le « rapport »), qui modifie et...more

3/3/2021 / Canada , Canadian Securities Administration , Capital Markets , Environmental Social & Governance (ESG) , IIROC , Ontario Securities Commission (OSC) , Self-Regulatory Organizations

Ontario Capital Markets Modernization Taskforce Issues Final Report

The Ontario Capital Markets Modernization Taskforce (Taskforce) recently delivered its final report (Report), which updates and expands on the recommendations contained in its July 2020 initial consultation report (Initial...more

2/26/2021 / Canada , Canadian Securities Administration , Capital Markets , Environmental Social & Governance (ESG) , IIROC , Ontario Securities Commission (OSC) , Self-Regulatory Organizations

Securities Regulators Look to Improve Client-Registrant Relationship with Client Focused Reforms

The Canadian Securities Administrators (CSA) recently published reforms to enhance the client-registrant relationship (Client Focused Reforms). The Client Focused Reforms amend National Instrument 31-103 Registration...more

10/24/2019 / Canada , Canadian Securities Administration , Capital Markets , Investment , Investors

Canadian Regulators Issue Revised Derivatives Dealer and Adviser Business Conduct Rule Proposal

On June 14, 2018, the Canadian Securities Administrators (CSA) published for comment a revised version of Proposed National Instrument 93-101 – Derivatives: Business Conduct (Business Conduct Rule). The Business Conduct Rule...more

6/29/2018 / Canada , Canadian Securities Administration , Capital Markets , Comment Period , Derivatives , Registration Requirement , Regulatory Standards , Reporting Requirements

Alert: CSA, OSC Remind Non-Canadian Trading Platforms of Canadian Regulatory Requirements

On January 4, 2018, the Canadian Securities Administrators (CSA) published Staff Notice 21-322 Applicability of Regulation to the Operation of MTFs or OTFs in Canada (CSA Staff Notice) and the Ontario Securities Commission...more

1/18/2018 / Canada , Canadian Securities Administration , Capital Markets , Ontario Securities Commission (OSC)

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