Whistleblowing in Canada
When news of a whistleblowing award becomes public in Canadian financial circles it usually makes news; not only from the size of the award, but also the very fact that someone has felt it necessary…
Barbara Hendrickson
Barbara has practiced in the securities and corporate areas for nearly 30 years, including with a leading international law firm, a leading national law firm, a Vancouver based boutique securities law firm, as senior legal counsel with the Ontario Securities Commission and, for the last 14 years, her own boutique law firm. As a former regulator and experienced securities lawyer, Barbara brings a special combination of skills and abilities to assist her clients.
Canadian Securities Administrators Publish Amendments to National Instrument 81-105 Mutual Fund Sales Practices and Other Instruments and Policies Relating to Principal Distributors
The Canadian Securities Administrators (CSA) recently announced the publication of final amendments to the principal distributor model (the Final Amendments) in the distribution of mutual fund securities. The Final Amendments clarify that a dealer may…
BCSC Issues its First Whistleblower Award
The British Columbia Securities Commission (BCSC) has made its first whistleblower award of $25,000 to an individual whose information contributed to an ongoing enforcement action into suspected misconduct. The award marks the first payout under…
BCSC Publishes Notice of Revised British Columbia Securities Commission Policy Hearings
The British Columbia Securities Commission (BCSC) has approved revised procedures for hearings under the Securities Act (the Act), effectively immediately. Those procedures are set out in BCP 15-601 Hearings (the Policy). The amendments to BCP…
Canadian Securities Exchange Publishes Proposed Public Interest Rule Amendments – Proposed – Request for Comments
CNSX Markets Inc., operator of the Canadian Securities Exchange (CSE) is proposing amendments (the Proposed Amendments) to the CSE Listing Policies (the Policies) and have made then available for comment for a period ending July…
BAX Securities Law Announces Toronto Business Lawyers Association Monthly Meeting
Toronto, June 1, 2026: BAX Securities Law is pleased to announce the 10th year anniversary of the Toronto Business Lawyers Association (TBLA). The TBLA was created by Barbara Hendrickson, founder of BAX Securities Law, to provide business lawyers in…
CSA Issues Temporary Exemptions from Collection of Certain Personal Registration Information
The Canadian Securities Administrators (CSA) including the Ontario Securities Commission (OSC) has published Coordinated Blanket Order 33-930 Exemptions from Requirements to Submit Certain Personal Information (the Coordinated Blanket Order), which provides temporary exemptions under National…
BCSC Publishes Update to NI 81-106, Investment Fund Continuous Disclosure
The Canadian Securities Administrators (CSA) including the Ontario Securities Commission (OSC) has published an update to National Instrument 81-106, Investment Fund Continuous Disclosure (NI 81-106). Significant amendments to NI 81-106, which is the primary Canadian…
CSA Publishes Proposed Amendments and Changes to Enhance Issuer Bid, Take- Over Bid, and Beneficial Ownership Reporting Regimes
The Canadian Securities Administrators (CSA) including the Ontario Securities Commission (OSC) recently published CSA Notice and Request for Comment Proposed Amendments and Changes to the Issuer Bid, Take-Over Bid and Beneficial Ownership Reporting Regimes (the…
Canadian Securities Regulators Announce Adoption of Semi-Annual Financial Reporting Pilot
The Canadian Securities Administrators (CSA) including the Ontario Securities Commission (OSC) have adopted a pilot project to allow eligible venture issuers to voluntarily adopt a semi-annual financial reporting framework (the SAR Pilot), subject to the…