by Barbara Hendrickson | Feb 2, 2024
An area of enforcement activity has been in the syndicated mortgage area, Syndicated mortgages continue to be a regulatory minefield for many issuers. A case in point is the story of Hi-Rise Capital, a Toronto-based provider of syndicated mortgages. In May 2023,...
by Barbara Hendrickson | Jan 31, 2024
Barbara Hendrickson is the author of recent practice note entitled “Underwriting Conflicts” which appears in Lexis Nexis Practical Guidance Canada. This practice note provides an introduction to Canadian securities law with respect to underwriter’s conflicts as...
by Barbara Hendrickson | Jan 30, 2024
The Financial Services Regulatory Authority of Ontario (FSRA) has approved the Canadian Investment Regulatory Organization (CIRO) as a credentialing body under Ontario’s Financial Professionals Title Protection Act, 2019 (FPTPA) The approval by FSRA means CIRO...
by Barbara Hendrickson | Jan 23, 2024
The Canadian Securities Administrators (CSA) has published for a 90-day comment period ending April 17, 2024, Proposed Amendments to National Instrument 81-102 Investment Funds Pertaining to Crypto and proposed changes to Companion Policy 81-102CP Investment Funds...
by Barbara Hendrickson | Jan 22, 2024
Much media attention has been paid to the recent approval by the United States Securities and Exchange Commission (SEC) to allow the trading and listing of certain of spot bitcoin exchange-traded products (ETPs). The SEC’s hand was forced by the decision of the U.S....
