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This edition provides a summary of newly effective and forthcoming regulatory and auditing matters in Canada from July 1, 2020 to September 30, 2020.

Canadian securities: New guidance

  • Significance Tests for Business Acquisition Report
  • Guidance on Registration Requirements for Chief Compliance Officers of Registrants
  • Start Up Crowd Funding Registration and Prospectus Exemptions
  • Start Up Crowd Funding Information
  • Syndicated Mortgages
  • Mutual Fund Sales Practices
  • Summary Report for Dealer, Advisers and investment Fund Managers

Canadian securities: Proposed guidance

  • Amendments to Prospectus Exemption for Issuers engaged in Real Estate Activities and Collective Investment Vehicles

Auditing matters

  • Group audits
  • Quality Management for Firms
  • Primary Financial Statements Project
  • Key Audit Matters
  • Standards Issues but Not yet Effective