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1
Investment Funds Institute Of Canada Issues Cybersecurity Guide
In February 2019, the Investment Funds Institute of Canada issued a Cybersecurity Guide to help its members develop a robust cybersecurity program. The guide is consistent with guidance ...
Canada
20 Mar 2019
2
BLG's Securities Law Resources
BLG's Investment Management Group is pleased to share our updated Investment Fund Rules Book with our clients and friends.
Canada
20 Feb 2019
3
Canadian Securities Regulators Permit Retail Liquid Alt Funds And Ease (Some) Investment Restrictions For All Public Funds
Overall, the amendments are a breath of fresh air in a regulatory environment that has become increasingly restrictive.
Canada
6 Dec 2018
4
Investment Restrictions For Public Investment Funds — At A Glance!
This At a Glance summary has been prepared by the Investment Management Group of Borden Ladner Gervais LLP as a quick guide to the new investment restrictions provided for in NI 81-102.
Canada
30 Nov 2018
5
ASC Releases Results Of EMD Sweep And Best Practices And CSA Provides Guidance On Small Firms Compliance And Regulatory Obligations
On May 10, 2017, the Alberta Securities Commission (the "ASC") released the results of its exempt market dealer ("EMD") compliance reviews (the "Sweep"), which was set out in ASC Notice 33-705...
Canada
20 Jun 2017
6
Alberta Investor Tax Credit Opens For Business
On December 15, 2016, the Government of Alberta ("Government") released guidelines providing details of the AITC program created under the Investing in a Diversified Alberta Economy Act (the "Act").
Canada
19 Jan 2017
7
New Risk Classification Methodology For Mutual Funds And Etfs — September 1, 2017 With Phased-In Disclosure
Under new rules finalized by the Canadian Securities Administrators (CSA) on December 8, 2016, Canadian fund managers must adopt by September 1, 2017...
Canada
10 Jan 2017
8
British Columbia Becomes The Sixth Province İn Canada To Introduce Franchise Legislation
On October 5, 2015, the Government of British Columbia introduced Bill 38, the Franchises Act, for first reading in the legislature.
Canada
5 Aug 2016
9
What's Ahead? At A Glance - Spring 2012
What’s Ahead? At a Glance outlines the key securities regulatory developments that will affect the investment management industry in Canada.
Canada
6 Jun 2012
10
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
11
IOSCO Releases Consultation Paper
On March 14, 2012, the Technical Committee of the International Organization of Securities Commissions (IOSCO) released a Consultation Report (the Consultation Report) entitled Principles for the Regulation of Exchange Traded Funds.
Canada
10 Apr 2012
12
What’s Ahead? At A Glance: Key Developments In Canadian Securities Regulation For The Investment Management Industry - Fall 2011
"What’s Ahead? At a Glance" outlines the key securities regulatory developments that will affect the investment management industry in Canada. The Investment Management Group of Borden Ladner Gervais LLP (BLG) prepares these outlines periodically, reporting on the current status of each initiative, as well as the expected next steps.
Canada
21 Dec 2011
13
The Canadian Securities Regulators Propose Amendments To "Pre-Marketing" And "Marketing" Rules
On November 25, 2011, the Canadian Securities Administrators (CSA) published for comment proposed amendments to the rules related to "pre-marketing" and "marketing" activities in connection with prospectus offerings (the Proposals).
Canada
9 Dec 2011
14
Canadian Regulators Permit Delivery Of Fund Facts In Lieu Of Simplified Prospectus And Release Proposed ‘Stage 2’ Point Of Sale Amendments
The Canadian securities administrators (CSA) have granted exemptions to permit all dealers to deliver the Fund Facts documents to investors in the mutual funds managed by 48 specified fund managers, in place of the simplified prospectus.
Canada
28 Sep 2011
15
New Disclosure Rules Proposed For Registered Firms In Canada: Account-Level Charges And Performance (Investment Management Bulletin - September 2011)
The comment period on the Canadian Securities Administrators’ (CSA) proposed amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations to require additional "client relationship" disclosure ends on September 23, 2011.
Canada
19 Sep 2011
17
Securities Regulators Provide Guidance On Registration Obligations For Mortgage Investment Entities
On February 25, 2011, the Canadian Securities Administrators published CSA Staff Notice 31-323 Guidance Relating to the Registration Obligations of Mortgage Investment Entities.
Canada
15 Mar 2011
18
Canadian Regulators Will Permit Early Use of Fund Facts
On February 24, 2011, the Canadian Securities Administrators published CSA Staff Notice 81-321 "Early Use of the Fund Facts to Satisfy Prospectus Delivery Requirements" available here, which clearly signals the CSA’s willingness to permit post-trade delivery of Fund Facts documents for mutual funds in lieu of the simplified prospectus.
Canada
11 Mar 2011
19
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
20
Focus on Compliance – What’s Important for 2011?
Over the past two years, financial services firms that are dealers, advisers and/or investment fund managers have implemented much of the dramatic changes to the Canadian regulatory landscape brought about by National Instrument 31-103 Registration Requirements and Exemptions and the related registration and prospectus exemption rules.
Canada
25 Feb 2011
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