Regulatory Alerts2022-04-28
CSA Staff Notice 25-303: 2021 Annual Activities Report on the Oversight of Self-Regulatory Organizations and Investor Protection Funds
The Canadian Securities Administrators issued this report detailing its 2021 oversight activities regarding the Investment Industry Regulatory Organization of Canada, the Mutual Fund Dealers Association, and their respective investor protection funds. Key developments include the ongoing integration of these entities into a new single self-regulatory organization and combined protection fund, alongside the implementation of an enhanced oversight methodology. The report confirms that the CSA fulfilled its regulatory obligations through risk assessments, rule reviews, and specific oversight reviews, noting only minor findings that were subsequently addressed by the regulated entities.
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