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.
Barbara Hendrickson, of BAX Securities Law, was prominently quoted in a recent article in the Canadian Bar Association National Magazine. The article, “Going it Alone” by staff writer Doug Beazley, discusses the recent consultation report…
The Canadian Securities Administrators (CSA) announced on July 30, 2020 that in light of COVID-19 and the challenges it presents to small businesses seeking to raise capital, the Ontario Securities Commission (OSC) made an interim…
On August 7, 2020 the Canadian Securities Administrators (CSA) granted relief to Wealthsimple Digital Assets Inc. (Wealthsimple) from certain registrant obligations, prospectus requirement and trade reporting requirements and suitability requirements to allow Wealthsimple to distribute…
The Canadian Securities Administrators (CSA) recently published final amendments that substantially harmonize the regulatory framework for syndicated mortgages in Canada. These final amendments will: remove the prospectus and registration exemptions that currently apply to syndicated…
The Canadian Securities Administrators (CSA) recently published their Oversight Report (the Report) regarding the Investment Industry Regulatory Organization of Canada (IIROC). The report, written by CSA staff, looks at whether IIROC has complied with the…
July 2, 2020 staff of the Canadian Securities Administrators (CSA) issued a notice (Notice) setting out guidance regarding the registration requirements for chief compliance officers (CCOs) under National Instrument 31-103 Registration Requirements, Exemptions and Ongoing…
The Canadian Securities Administrators (CSA) on June 30, 20 released an interim progress reports on initiatives published in its CSA 2019-2022 Business Plan, which sets out the priorities of its members over the course of…
On June 11, 2020 the Ontario Securities Commission (OSC) published report on a review conducted OSC Staff, of the crypto asset trading platform QuadrigaCX (Quadriga). The collapse of Quadriga in 2019 caused massive losses for…
On June 23, 2020, the Canadian Securities Administrators (CSA) released its fiscal year 2019/20 Enforcement Report which outlines how securities regulators are protecting investors and the integrity of Canada’s capital markets. Highlights from the fiscal year…