[Link] Financial Post – “Mitch Kowalski: Why small is beautiful for exchanging ideas, tips and experiences”
http://business.financialpost.com/legal-post/mitch-kowalski-why-small-is-beautiful-for-exchanging-ideas-tips-and-experiences
Barbara Hendrickson
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.
Proposed CSA Proxy Voting Protocols, May 29, 2016
Canadian Securities Laws Proposed CSA Proxy Voting Protocols, May 29, 2016On March 31, 2016, the Canadian Securities Administrators (CSA) published for comment CSA Multilateral Staff Notice 54-304 Final Report on Review of the Proxy Voting…
Registration Reform – the CSA publishes the proposals for a “Best Interests” Standard, April 28, 2016
Canadian Securities LawsRegistration Reform – the CSA publishes the proposals for a “Best Interests” Standard, April 28, 2016On April 28, 2016, the Canadian Securities Regulators (CSA) published CSA Consultation Paper 33-404 Proposals to Enhance the…
TODAY’S NEW AND DEVELOPING CARBON MARKETS – Barbara Hendrickson’s speaking notes June 3, 2016
“Around the globe, initiatives to price carbon, including cap-and-trade systems, are proliferating at a rapid pace. The shifting evolution of carbon markets, including potential new markets, market mechanisms, and market participants is occurring at an…
New Harmonized Exempt Distribution Reporting Structure, May 20th, 2016
With the amendments to National Instrument 45-106, Prospectus Exemptions, the Canadian Securities Administrators (CSA) are introducing a new harmonized reporting structure (the New Reports) for exempt distributions, effective June 30, 2016 (subject to ministerial approval).…
OSC Warns after Penalizing Mortgage Investment Entities for Unregistered Securities Trading, February 19, 2016
In the wake of announcing enforcement settlement agreements with mortgage investment entities (MIEs), mortgage brokers, administrators, and their principals involved in trading securities without registration contrary to the Securities Act (Ontario), the Ontario Securities Commission…
New Prospectus Exemption for Distributions through an Investment Dealer, January 14, 2016
The securities regulatory authorities in BC, Alberta, Saskatchewan, Manitoba, and New Brunswick (the participating jurisdictions) have each adopted a prospectus exemption that subject to certain conditions, lets issuers who are listed on a Canadian exchange…
CSA Adopts Fundamental Changes to Early Warning and Take-over Bid Regimes, May 9, 2016
On February 25, 2016, the Canadian Securities Administrators (CSA) published the amendments to:Multilateral Instrument 62-104 Take-Over Bids and Issuer Bid (MI 62-104);National Instrument 62-103 The Early Warning System and Related Take-Over Bid and Insider Reporting…
SEC Adopts Crowdfunding, May 16, 2016
New Securities and Exchange Commission (SEC) rules went into effect May 16, 2016 allowing companies to sell and offer securities through crowdfunding. These rules and amendments are designed to help start-up and early stage companies…
CSA requires use of SEDAR for Certain Exempt Market Filings, May 12, 2016
Effective May 24th, 2016, the members of the Canadian Securities Administrators (CSA) except for British Columbia and Ontario (participating jurisdictions) will require that exempt market offering and disclosure filings be made on the System for…