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 February 14, 2018, the British Columbia Securities Commission (BCSC) published for comment BC Notice 28/01, Notice and Request for Comment Consulting on the Securities Law Framework for Fintech Regulation (the Notice), with the aim…
On January 20, 2018, the Ontario Securities Commission (“OSC”) published proposed changes to OSC Policy 15-601, The Whistleblower Program (“Policy”) for a 60-day comment period, ending March 20, 2018 (“Notice”). The Notice clarifies the role…
Congratulations to Barbara Hendrickson for her appointment to the Securities Advisory Committee (SAC). Barbara is one of four new members that the Ontario Securities Commission (OSC) recently announced who will be participating on its Securities Advisory…
The Lawyer’s Daily, spoke to Barbara Hendrickson of BAX Securities Law and other firms with strong technology practices about what their predictions were for the upcoming year in legal tech. Here’s the link to the…
On November 28, 2017, the Ontario Securities Commission (OSC) adopted its final rule regarding distributions outside Canada, OSC Rule 72-503 – Distributions Outside Canada (The Final Rule), including Form 72-503F Report of Distributions Outside Canada…
On December 14, 2017, the Competition Bureau (the Bureau) published the final draft of its examination of Canada’s Fintech markets, Technology-Led Innovation in the Canadian Financial Services Sector, A Market Study, December 2017. The report…
Effective December 15, 2017, the securities regulators in the participating jurisdictions of British Columbia, Alberta, Saskatchewan, New Brunswick, Prince Edward Island, Nova Scotia, Newfoundland and Labrador, Yukon, Northwest Territories, and Nunavut (the Participating Jurisdictions) announced…
On December 14, 2017, the Canadian Securities Administrators (CSA) issued CSA Staff Notice 23-320, Consideration of the Markets in Financial Instruments Directive (MiFID II) Unbundling Requirements on the Regulatory Requirements in Canada (Staff Notice 23-320),…
On December 7, 2018, the Canadian Securities Administrators (CSA), the Investment Industry Regulatory Organization of Canada (IIROC), and the Mutual Fund Dealers Association of Canada (MFDA) (the regulators) jointly released CSA Staff Notice 31-351, IIROC…
In January 2017, the Canadian Securities Administrators (the “CSA”) published CSA Multilateral Staff Notice 51-347: Disclosure of Cyber Security Risks and Incidents (the “Staff Notice”), the findings of a review of the disclosure provided by…