Barbara Hendrickson is the author of recent practice note entitled “Underwriting Conflicts” which appears in Lexis Nexis Practical Guidance Canada. This practice note provides an introduction to Canadian securities law with respect to underwriter’s conflicts as set out in National Instrument 33-105 Underwriter’s Conflicts (“NI 33-105”). NI 33-105 is in effect in all 13 Canadian provinces and territories. NI 33-105 and its companion policy (“CP to NI 33-105”) provides a principles-based framework that requires securities registrants to identify and respond to material conflicts of interest.
For more information, please call Barbara Hendrickson at BAX Securities Law (647) 403-4606.
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