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OSC issues anticipated Report on the Burden Reduction Task Force

The OSC issued its Report on the work of the Burden Reduction Task Force, in which it outlined the work undertaken by the OSC and the Task Force and...

OSC Burden Reduction Initiative – Focusing on ‘Principles’ for more responsive and effective regulation

The Ontario Securities Commission’s Burden Reduction Initiative emphasizes the centrality of a risk and principle-based focus to effective...

OSC Burden Reduction Initiative – Revisiting the 2003 Regulatory Burden Task Force

As the OSC continues to embark on its Burden Reduction Initiative, we think it is a worthwhile exercise to look back at the Commission’s 2003...

CSA releases annual enforcement report – focus on collaboration and enforcement in digital world

The Canadian Securities Administrators (CSA) released its annual enforcement report yesterday – aptly titled “Evolving Securities...

OSC Burden Reduction Initiative – Rules-based versus principle-based regulation

As the Ontario Securities Commission (“OSC”) considers how best to implement its burden reduction initiative, there has been significant...

Seeing the forest for the trees: Ontario Court of Appeal dismisses Sino-Forest executives’ appeal of OSC decision

On June 3, 2019 the Ontario Court of Appeal released its decision in Hung et al, v. Ontario (Securities Commission), upholding the ruling of the...

OSC Burden Reduction Initiative – OSC roundtables

In January 2019, the Ontario Securities Commission (“OSC”) announced the formation of a Burden Reduction Task Force aimed at minimizing...

MFDA boosts enforcement activity in 2018

Canada’s ‘other’ national self-regulatory agency is demonstrating its intention to police the mutual fund distributors it...

IIROC moving forward with new enforcement tools

The Investment Industry Regulatory Organization of Canada, Canada’s national investment dealer self-regulatory organization, has announced it...

IIROC’s enforcement authority gets a stronger legal backbone

The Investment Industry Regulatory Organization of Canada (IIROC) recently released its 2017 Enforcement Report. Chief among this past...