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 June 9, 2020 the Investment Industry Regulatory Organization of Canada (IIROC) released its proposal, “Improving Self-Regulation for Canadians”, outlining the benefits of bringing together IIROC and the Mutual Fund Dealers Association of Canada (MFDA)…
On June 10, 2010 the Canadian Securities Administrators (CSA) announced steps to facilitate portfolio managers’ use of client relationship management specialists. These actions aim to better align the CSA’s assessment of relevant investment management experience…
The Canadian Securities Administrators published on June 4, 2020 final amendments that streamline at-the-market (ATM) distributions in Canada, and reduce regulatory burden for issuers, exchanges and investment dealers. ATM distributions will now be available to issuers without…
The securities regulatory authorities in Alberta, British Columbia, New Brunswick, Newfoundland and Labrador, Northwest Territories, Nova Scotia, Nunavut, Ontario, Prince Edward Island, Saskatchewan and Yukon (the participating jurisdictions) published on May 29, 2020 temporary blanket relief…
The Canadian Securities Administrators (CSA) released a notice on May 29, 2020 reminding reporting issuers of the importance of disclosing high quality financial information to investors. The CSA encourages issuers to visit the CSA COVID-19 Information…
On June 4, 2020, the Canadian Securities Administrators (CSA) released a notice that summarizes the results of a review on the mineral resource estimates disclosed in mining issuers’ technical reports under National Instrument 43-101 Standards of…
The Ontario Securities Commission (OSC) announced on May 29, 2020 that it will continue to temporarily waive late fees for market participants impacted by the COVID-19 pandemic. The extensions build on the temporary relief the…
The Canadian Securities Administrators (CSA) recently finalized and expanded the mandatory transparency requirements (the transparency requirements) regarding for government debt securities and corporate debt securities. These changes amend National Instrument 21-101 Marketplace Operation and its…
First Published April 3, 2020; Updated April 16, 2020, May 1, 2020 and May 13, 2020 On May 13, 2020 the Canadian Securities Administrators (“CSA”) published an update to the CSA staff’s views on frequently…
Toronto – The Canadian Securities Administrators (CSA) published on May 20, 2020 blanket orders that provide investment funds and non-investment fund issuers with temporary relief from certain regulatory filings and delivery obligations, as a result of the…