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.
On October 5, 2020 the Financial Services Regulatory Authority of Ontario (FSRA) announced that it is developing proposed guidance – Interpretation and Approach guidance that identifies higher risk offerings and sets out enhanced disclosures by co-operative…
On October 8, 2020 the Financial Services Regulatory Authority (FSRA) published a summary of their activities to update the regulation of syndicated mortgages to assess risks and build frameworks and resources to deter ‘deceptive and…
On October 8, 2020 Barbara Hendrickson gave a Zoom presentation to the Toronto Business Lawyers Association on recent enforcement initiatives by the Ontario Securities Commission against participants in the securities markets. The presentation discusses recent…
On September 16, 2020 the TSX Venture Exchange (the “Exchange”) issued a bulletin on minimum pricing requirements. The Exchange had previously issued a bulletin (the “April 8, 2020 Bulletin”) providing notice that in response to…
The Canadian Securities Administrators (CSA) published a notice on September 17, 2020 for comment proposed changes to the offering memorandum prospectus exemption. The changes are reflected in proposed amendments to National Instrument 45-106 Prospectus Exemptions (NI 45-106), as…
The Canadian Securities Administrators (CSA) published on September 18, 2020 in a notice (Notice) guidance to help investment fund managers develop and maintain effective liquidity risk management frameworks for investment funds. The Notice states that liquidity…
On September 17, 2020 the Canadian Securities Administrators (CSA) published a notice (Notice) that the CSA are adopting amendments (Amendments) to National Instrument 81-105 Mutual Fund Sales Practices (NI 81-105), changes to Companion Policy 81-105CP…
The securities regulators of Alberta, Manitoba, New Brunswick, Nova Scotia, Ontario, Quebec, and Saskatchewan (the participating jurisdictions) have jointly announced they are postponing the publication CSA Multilateral Staff Notice 58-311 Report on Fifth Staff Review…
The U.S. Securities and Exchange Commission (SEC) announced on August 26, 2020 that it was adopting amendments to the “accredited investor” definition, one of the principal tests for determining who is eligible to participate in…
The Ontario Securities Commission (OSC) recently published that an email was sent to stakeholders who the OSC identified as likely being impacted by the transfer of regulatory oversight of certain syndicated mortgage investment (SMI) activity…