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Searching Content indexed under Compliance by McMillan LLP ordered by Published Date Descending.
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1
OSFI's Revised Corporate Governance Guideline Goes Live
On September 18, 2018 the Office of the Superintendent of Financial Institutions (OFSI) issued the final version of its Corporate Governance Guideline (the CG Guideline).
Canada
4 Oct 2018
2
Finance Proposes Amendments To Limit Holding Company - Input Tax Credit Claims ("ITC") And Seeks Consultations On Further Possible Changes
In the February 27, 2018 Budget, the Federal Government announced that it "intends to clarify which expenses for the parent corporation that are in respect of shares or indebtedness of a related ..."
Canada
14 Aug 2018
3
Guidance To Exempt Market Dealers On Account Opening Procedures
On December 19, 2017, the Alberta Securities Commission published ASC Notice 31-701 – Account Opening Assistance to provide guidance on the collection of know your client information and the performance of suitability reviews by exempt market dealers.
Canada
29 Mar 2018
4
CSA Publishes Review Of Disclosure Of Women On Boards And In Executive Officer Positions
On October 5, 2017, the Canadian Securities Administrators (the "CSA") published Staff Notice 58-309 – Staff Review of Women on Boards and in Executive Officer Positions...
Canada
7 Nov 2017
5
CSA Releases Oversight Review Report Of The MFDA
The Report evaluates whether the regulatory processes of the MFDA are operating effectively and identifies areas which require corrective action.
Canada
12 Oct 2017
6
CSA Warns About False Or Misleading Information In Registration Applications
On July 13, 2017, the Canadian Securities Administrators (the "CSA") released CSA Staff Notice 33-320 The Requirement for True and Complete Applications for Registration (the "Notice").
Canada
31 Jul 2017
7
Regulatory Reset For Reports Of Canadian Private Placements
However, both the certification requirements for the Report and the nature and quantity of information required to be included therein resulted in significant pushback from issuers...
Canada
23 Jun 2017
8
CASL Private Right Of Action Delayed; Enforcement By CRTC Continues
Commonly known as Canada's Anti-Spam Legislation, "CASL" contains a controversial enforcement mechanism known as the "private right of action" that will allow a person to seek compensation...
Canada
8 Jun 2017
9
And Then There Were None; Ontario Has Repealed The Bulk Sales Act
The BSA has existed in Ontario since 1917 and the last substantial amendment to it occurred in 1959.
Canada
28 Mar 2017
10
CSA Release MFDA Oversight Review Report
On November 18, 2016, the Canadian Securities Administrators ("CSA") released the Oversight Review Report of the Mutual Fund Dealers Association of Canada ("MFDA") (the "Report").
Canada
20 Dec 2016
11
New Record-Keeping Requirements For Ontario Corporations
However, the phrase likely extends to both legal and beneficial interests in land.
Canada
23 Nov 2016
12
CSA Publish Update On Cybersecurity For Market Participants
Today's issuers, registrants, and regulated entities rely increasingly on electronic systems to, among other things, store confidential information, transfer data and intellectual property, record transactions, and track key financial assets.
Canada
19 Oct 2016
13
OFSI Extends Implementation Date For Pillar 3 Disclosure Requirements
In January 2015, the Basel Committee on Banking Supervision (the "Basel Committee"), an international banking regulator, issued the Revised Pillar 3 Disclosure Requirements.
Canada
1 Sep 2016
14
Tips For Startups – So You Want To Crowdfund?
In 2012 we published an article on the future of crowdfunding and whether it could help finance innovation by providing Canadian businesses with a new source for capital.
Canada
26 Aug 2016
15
OSFI's Final Guideline On ORM Is Less Prescriptive And Levels The Playing Field
In keeping with the August 2015 version, the final version of the Guideline promotes four ORM principles.
Canada
18 Jul 2016
16
Venture Issuers Are Reminded To Consider Recent Regulatory Developments
Recognizing the challenges faced by smaller public issuers, securities regulatory authorities have introduced new measures to simplify disclosure requirements and regulatory compliance...
Canada
16 May 2016
17
Do Securities Laws Apply To Private Ontario Companies?
While the Prospectus Requirement serves to protect investors, the OSC recognizes that companies also need flexibility to efficiently raise money.
Canada
3 May 2016
18
Significant New Penalties For Non-Compliance With Temporary Foreign Worker Program
Under the old regime, only employers found to be non-compliant with the Temporary Foreign Worker Program (TFWP) (i.e. where a Labour Market Impact Assessment is required) are subject to inspection and penalty.
Canada
2 Dec 2015
19
Industry Healthcheck: Current Landscape
Insurers in Canada are required to implement a system of enterprisewide risk management that identifies the inherent risks in their activities and manages those risks to appropriately defined levels.
Canada
7 Oct 2015
20
2 Become 1: CSA Proposes Creation Of Single Exempt Distribution Reporting Regime
Addressing a compliance burden for issuers, the Canadian Securities Administrators published proposed amendments to National Instrument 45-106 Prospectus Exemptions (NI 45-106) on August 13, 2015.
Canada
20 Aug 2015
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