Canadian Securities Matters - Q3 2024

This edition provides a summary of newly effective and forthcoming regulatory matters in Canada in the quarter ended September 30, 2024.

Canadian securities: New guidance

• CSA Notice Regarding Coordinated Blanket Order 93-930 Re Temporary Exemptions for Derivatives Firms from Certain Obligations When Transacting with Certain Investment Funds and for Senior Derivatives Managers from Certain Reporting Obligations
• OSC Notice of Publication - Amendments to OSC Rule 91-507 Trade Repositories and Derivatives Data Reporting; Changes to OSC Companion Policy 91-507CP; Changes to OSC Companion Policy 91-506CP; Related Consequential Amendments and Changes
• OSC Staff Notice 33-756 – Registration, Inspection and Examinations Division – Summary Report for Dealers, Advisers and Investment Fund Managers

Canadian securities: Proposed guidance

• Proposed OSC Rule 11-502 Distribution of Amounts Paid to the OSC under Disgorgement Orders; Proposed Companion Policy 11-502 Distribution of Amounts Paid to the OSC under Disgorgement Orders; Proposed OSC Rule 11-503 (Commodity Futures Act) Distribution of Amounts Paid to the OSC under Disgorgement Orders; Proposed Companion Policy 11-503 (Commodity Futures Act) Distribution of Amounts Paid to the OSC under Disgorgement Orders -- Modernize the Process to Distribute Disgorged Amounts to Harmed Investors
• Proposed Amendments to National Instrument 81-101 Mutual Fund Prospectus Disclosure, National Instrument 81-102 Investment Funds, National Instrument 81-106 Investment Fund Continuous Disclosure, National Instrument 81-107 Independent Review Committee for Investment Funds; and Related Proposed Consequential Amendments and Changes; Modernization of the Continuous Disclosure Regime for Investment Funds
• Proposed Amendments to National Instrument 94-101 Mandatory Central Counterparty Clearing of Derivatives