Member Resources

Presentations

PCMA Slide Deck

CSA Consultation Paper-33-404

ONMICA MNP IFRS Presentation

GowlingsWLGPresentationOfferingMemorandumAndFFBAExemptions

16ONMICA – PCMA Geoff Ritchie (Oct 21 2015)

Slide presentation on Client Suitability from the Private Capital Markets Association conference on May 19, 2015

Resources of Interest – Securities Regulation

Canadian securities regulators propose additional amendments to syndicated mortgage regime, following comment period

Expiry of BC Instrument 32-517 Exemption from Dealer Registration Requirement for Trades in Securities of Mortgage Investment Entities and registration requirements for persons relying on BCI 32-517 on February 15, 2019

The Registration Rules Book

2018 Annual Summary Report For Dealers, Advisers, and Investment Fund Managers

Proposed Amendments to 45-106 and 31-103 with respect to Mortgage Syndications

Ontario Offering Memorandum Summary

Reminder – as of May 5, 2015 the Minimum Amount Exemption ($150,000 – Minimum Amount Exemption) can no longer be used for individuals.  The Friends, Family, and Business Associates Exemption is available in Ontario. Risk Acknowledgement Forms are required for individual accredited investors.

Sample Form 45-106F12 – Risk Acknowledgement Form for Friends, Family and Business Associated Exemption – Sample Form for informational purposes only and not intended for commercial use. Consult with your own legal counsel for its accuracy as interpretations may have changed.

Sample Form 45-106F9 – Risk Acknowledgement Form for Individual Accredited Investors – Sample Form for informational purposes only and not intended for commercial use. Consult with your own legal counsel for its accuracy as interpretations may have changed.

KYC, KYP and Suitability Obligations – CSA Staff Notice 31-336

Updates to NI 45-106

OSC Definition of Mortgage Investment Entity – September 2013

Regulation of Mortgage Investments – Who has it right – FSCO or the OSC – Private Capital Markets Association Magazine Spring 2014

Securities Laws & Regulations of a MIC – Levy Zavet

Offering Memoranda and Mortgage Investment Entities: Selected Disclosure Issues – Private Capital Markets Association Magazine Spring 2015

Ten things you need to do before a regulator comes knocking – Private Capital Markets Association Magazine Spring 2015

Resources of Interest – MIC Issues

Section 130.1 of Income Tax Act

Annual Maintenance and Reporting Requirements of a MIC – Levy Zavet

Technical Aspects of a MIC – Levy Zavet

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