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CIRO Publishes Request for Comment – Proposal to harmonize CIRO Continuing Education (CE) Programs

by Barbara Hendrickson | Dec 22, 2024

The Canadian Investment Regulatory Organization (CIRO) has published proposed amendments to its continuing education (CE) programs under the Investment Dealer Partial Consolidated (IDPC) Rules and the Mutual Fund Dealer (MFD) Rules (The Proposed Amendments). CIRO had...

BCSC Publishes Guidance On Misrepresentations And False And Misleading Statements

by Barbara Hendrickson | Dec 17, 2024

The British Columbia Securities Commission (BCSC) has published BC Notice 15-702 Prohibitions against Misrepresentations and False or Misleading Statements (The Staff Notice). The Staff Notice provides guidance about the prohibitions in sections 50(2) and 50(3) of the...

OSC Publishes Compliance Review Findings And Guidance For Crypto Asset Trading Platforms

by Barbara Hendrickson | Dec 12, 2024

The Ontario Securities Commission (OSC) recently published its findings from a focused compliance review of crypto asset trading platforms (CTPs). OSC Staff Notice 33-757 Review of Restricted Dealer Crypto Asset Trading Platforms’ Compliance with the Account...

Canadian Securities Administrators Issue Guidance And Open Consultations On Use Of AI Systems In Capital Markets

by Barbara Hendrickson | Dec 10, 2024

The Canadian Securities Administrators (CSA) have published CSA Staff Notice and Consultation 11-348 – Applicability of Canadian Securities Laws and the Use of Artificial Intelligence Systems in Capital Markets (the Staff Notice), intended to provide guidance on how...

BAX Securities Law Announces December Toronto Business Lawyers Association Monthly Meeting

by Barbara Hendrickson | Dec 10, 2024

Toronto, December 7, 2024: BAX Securities Law is pleased to announce that the firm has resumed its sponsorship of the Toronto Business Lawyers Association (TBLA) networking and business development monthly meetings.  Barbara Hendrickson, Managing Partner of BAX...
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About BAX Corporate Securities & Financial Services Lawyers

BAX practises in the securities and financial services regulatory areas and has acted as counsel to major Canadian and American corporations, market participants.

Legal Services

If you wish to discuss retaining BAX Securities Law to provide you with legal services, please contact:

Barbara Hendrickson
Managing Partner
416.601.1004
bhendrickson@baxsecuritieslaw.com

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390 Bay Street, Suite 1000 Toronto, ON M5H 2Y2

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