News & Events

CSA / ACVM
For Immediate Release
May 29, 2020

 

Temporary relief from certain regulatory filings available to registrants and unregistered capital markets participants due to COVID-19

Toronto – The securities regulatory authorities in Alberta, British Columbia, New Brunswick, Newfoundland and Labrador, Northwest Territories, Nova Scotia, Nunavut, Ontario, Prince Edward Island, Saskatchewan and Yukon (the participating jurisdictions) published temporary blanket relief for registrants and unregistered capital markets participants from certain financial statement and information delivery requirements, as a result of COVID-19. The conditions of the relief are substantially the same as the temporary relief announced on March 23 (prior relief), but the relief is only applicable to registrants and unregistered capital markets participants with filing deadlines in the periods described below.

The blanket relief provides a 60-day extension for periodic filings normally required to be made between June 2, 2020 and September 30, 2020 by registrants and, in Ontario, unregistered capital markets participants that rely upon certain registration exemptions. These unregistered capital markets participants include unregistered investment fund managers and unregistered exempt international firms. Registrants and unregistered capital markets participants that have already used the prior relief to extend their deadline for any financial statement or information delivery requirements occurring on or before June 1, 2020, cannot use this relief to further extend that deadline.

The CSA is implementing the relief through local blanket orders by the participating jurisdictions. Registrants who are registered in multiple jurisdictions will need to ensure that they satisfy the applicable filing deadlines in those jurisdictions where the relief does not apply.

The securities regulatory authorities in Québec and Manitoba separately published temporary blanket relief from certain financial statement and information delivery requirements for registrants whose principal regulator is one of the participating jurisdictions.

Market participants can view these orders on CSA members’ websites and are encouraged to contact their principal regulator with any questions.

The CSA, the council of the securities regulators of Canada’s provinces and territories, co- ordinates and harmonizes regulation for the Canadian capital market

 
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For inquiries about filings for registrants:

Anita Chung, CPA, CA, CFE
Registration Accountant, Compliance & Registrant Regulation
Ontario Securities Commission
416-593-8131
achung@osc.gov.on.ca

Mark French
Manager, Registration & Dealer Compliance
British Columbia Securities Commission
604-899-6856
mfrench@bcsc.bc.ca

Wendy Morgan
Deputy Director, Securities
Financial and Consumer Services Commission, New Brunswick
506-643-7202
wendy.morgan@fcnb.ca

Liz Kutarna, Deputy Director, Capital Markets Securities Division
Financial and Consumer Affairs Authority
306-787-5871
liz.kutarna@gov.sk.ca    

Ashley Lee
Regulatory Analyst, Registrant Regulation Alberta Securities Commission
403-297-4009
ashley.Lee@asc.ca

Brian Murphy
Manager, Registration
Nova Scotia Securities Commission
902-424-4592
brian.murphy@novascotia.ca

Martin Picard
Analyste expert à l’encadrement des intermédiaires
Direction de l’encadrement des intermédiaires
Autorité des marchés financiers
514 395-0337
martin.picard@lautorite.qc.ca  

Paula White
Deputy Director, Compliance and Oversight Manitoba Securities Commission
204-945-5195
paula.white@gov.mb.ca

Sue Henderson
Deputy Director, Registrations
Manitoba Securities Commission
204-945-1600
sue.henderson@gov.mb.ca

For media inquiries, please refer to the list of provincial and territorial representatives below or contact us at media@acvm-csa.ca.

For more information:

Kristen Rose
Ontario Securities Commission
416-593-2336

Hilary McMeekin
Alberta Securities Commission
403-592-8186

Brian Kladko
British Columbia Securities Commission
604-899-6713

Sylvain Théberge
Autorité des marchés financiers
514-940-2176

Jason (Jay) Booth
Manitoba Securities Commission
204-945-1660

Shannon McMillan
Financial and Consumer Affairs Authority of Saskatchewan
306-798-4160

Sara Wilson
Financial and Consumer Services
Commission, New Brunswick
506-643-7045

Steve Dowling
Government of
Prince Edward Island,
Superintendent of Securities
902-368-4550

David Harrison
Nova Scotia Securities Commission
902-424-8586

Jeff Mason
Nunavut Securities Office
867-975-6591

Renée Dyer
Office of the Superintendent
of Securities
Newfoundland and Labrador
709-729-4909

Tom Hall
Office of the Superintendent
of Securities
Northwest Territories
867-767-9305

Rhonda Horte
Office of the Yukon Superintendent
of Securities
867-667-5466