BAX Securities Law™ has direct experience dealing with Canadian securities and financial services regulatory bodies including the Ontario Securities Commission, the British Columbia Securities Commission and other Canadian regulatory authorities.
The British Columbia Securities Commission (BCSC) has made its first whistleblower award of $25,000 to an individual whose information contributed to an ongoing enforcement action into suspected misconduct. The award marks the first payout under…
The British Columbia Securities Commission (BCSC) has approved revised procedures for hearings under the Securities Act (the Act), effectively immediately. Those procedures are set out in BCP 15-601 Hearings (the Policy). The amendments to BCP…
Securities regulators in Ontario, Quebec, and France have signed off on the Agreement to facilitate the cross-listing of securities in France and Canada between the Ontario Securities Commission and the Autorité des marchés financiers of…
The Ontario Securities Commission (OSC), the Autorité des marchés financiers (AMF) and the Canadian Investment Regulatory Organization (CIRO) (the Canadian Securities Regulators), have granted approval for Project Samara, an experimental tokenization research project conducted by…
Barbara Hendrickson, founder and Managing Partner of BAX Securities Law, has been reappointed to a third two-year term as member of the British Columbia Securities Commission (BCSC) Fintech Advisory Forum. The BCSC Fintech Advisory Forum…
The Canadian Investment Regulatory Organization (CIRO) is republishing for further comment the complete proposed consolidated rules (Proposed CIRO Rules) for a period ending June 12, 2026. The Proposed CIRO Rules will bring together the two…
The Canadian Securities Administrators (CSA) have published CSA Staff Notice 96-307 (Revised)Frequently Asked Questions about Derivatives Trade Reporting (the Staff Notice). The Staff Notice revises a list of frequently asked questions (FAQs) received by the…
The British Columbia Securities Commission (BCSC) has published BC Instrument 33-521, Relief from sections of NI 33-109 Registration Information related to obligations to fill out specific forms (the Relief Order). The Relief Order, which is…
Securities regulators in Ontario, Alberta, British Columbia, Québec, New Brunswick, Nova Scotia and Saskatchewan (the Participating Jurisdictions), have published a CSA Multilateral Staff Notice 31-367 Notice and Consultation Regarding CSA Coordinated Blanket Order 31-930 Exemption…
Canadian companies increasingly look south of the border for growth capital, drawn by deeper U.S. markets and sophisticated investor bases. However, navigating U.S. securities laws requires careful attention to both registration exemptions and broker-dealer requirements.…