“One need not look further than the headlines to realize the anti-money and anti-terrorist financing are becoming the focus of increased regulatory scrutiny.” Please join Barbara Hendrickson of BAX Securities Law and Natalie Ochrym and Claude Baksh of Grace Compliance Services Inc. on November 14, 2024 at 2:00…
BAX Securities Law’s Barbara Hendrickson gave a guest lecture via Zoom to a class of students at Kyiv’s State Tax University, Sept 23, 2024 Barbara will speak on the topic: “The Legal Profession in Canada: Challenges and Opportunities in International Legal Practice.” During the lecture,…
BAX Securities Law’s Barb Hendrickson is pleased to announce that she is appearing in a new legal directory, The Ontario Lawyers Directory for Whistleblowers (the Directory), published by Whistleblowing Canada. The goal of the Directory, published by Whistleblowing Canada with the support of the Law…
The Canadian Securities Administrators (CSA) have published for review and comment a series of proposed amendments (The Proposed Amendments ), aimed at modernizing the continuous disclosure regime for investment funds for a period ending January 7, 2025. The Proposed Amendments are designed to provide investors…
The Ontario Securities Commission (OSC) has published Artificial Intelligence and Retail Investing: Use Cases and Experimental Research (the Report), which discusses the results of a behavioural science experiment that focused on the role of artificial intelligence (AI) in supporting retail investor decision-making. The experiment consisted…
The Canadian Securities Administrators (CSA) has extended its deadline yet again to December 31, 2024, so that crypto asset trading platforms (CTPs) that have not registered or provided a pre-registration undertaking (PRU) have until that date to allow clients to buy, deposit, or enter into…
Toronto, September 9, 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 Securities Law, is pleased to invite friends and colleagues…
The Canadian Investment Regulatory Organization (CIRO) is publishing for comment proposed amendments to the Investment Dealer and Partially Consolidated Rules (IDPC, the Draft Rule Amendments) reflecting the proposed proficiency model, for a period ending September 17, 2024. The Draft Rule Amendments focus on the proficiency…
BAX Securities Law is pleased to announce that its founder and Securities Partner, Barbara Hendrickson, is included in the 2024 edition of The Best Lawyers in Canada. Best Lawyers, the oldest and most respected legal rankings company, has announced that Barbara Hendrickson will be included…
The Canadian Securities Administrators (CSA) and the Canadian Investment Regulatory Organization (CIRO) are reminding crypto trading platforms (CTPs) to ensure their operations comply with Canadian securities laws by prioritizing their applications for registration as investment dealers and membership with CIRO. Under the terms of Staff…