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Searching Content indexed under Finance and Banking by Sarah Gardiner ordered by Published Date Descending.
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New Streamlined Report Of Exempt Distribution: January 30, 2019 Deadline For Funds
On October 5, 2018, amendments to National Instrument 45-106 Prospectus Exemptions (NI 45-106) and its Companion Policy (the Amendments) came into force
Canada
27 Nov 2018
2
Canadian Securities Regulators Publish Revamped "Client Focused" Registrant Reform Proposals And Signal Policy Direction On Mutual Fund Embedded Compensation
The Canadian Securities Administrators' ("CSA") long-standing initiatives to deal with the investor protection issues they consider associated with today's retail client-registrant relationships ...
Canada
6 Jul 2018
3
Increased Complexities For Exempt Market Filings In Canada Effective May 24, 2016
Currently, exempt market filings are filed in Ontario and British Columbia using the electronic filing systems maintained by the regulators in these provinces and in paper format in all other jurisdictions.
Canada
18 Jan 2016
4
CSA's Proposed Harmonized Report Of Exempt Distribution
Comments are expected by October 13, 2015 on the CSA's proposed single harmonized form of exempt distribution report to be used in all provinces and territories of Canada.
Canada
12 Oct 2015
5
Hedge Fund Managers: Your 2013 Annual Compliance Check-Up — Quick Tips On Doing A Self-Diagnosis
Canada, in keeping with the rest of the world, has seen unprecedented change in the regulation of the financial markets over the past five years – not only in scope and detail, but also in speed of implementation.
Canada
30 Sep 2013
6
Hedge Fund Managers: Your 2012 Annual Compliance Check-Up – Quick Tips On Doing A Self-Diagnosis
Securities laws, anti-money laundering and terrorist financing reporting regulations have, over the past few years, gone through a significant overhaul in Canada and continue to evolve at a steady pace.
Canada
26 Apr 2012
7
Hedge Fund Managers: Time For Your Annual Registration Check-Up? Quick Tips On Doing A Self-Diagnosis
Securities laws, anti-money laundering and terrorist financing reporting regulations have, over the past few years, gone through a significant overhaul in Canada.
Canada
21 Mar 2011
8
Hedge Fund Managers: Time for your Annual Registration Check-up? Quick Tips for Doing a Self-Diagnosis
Securities laws, anti-money laundering and terrorist financing reporting regulations have, over the past few years, gone through a significant overhaul in Canada. At the same time, regulatory oversight and compliance audits have increased.
Canada
3 Mar 2011
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