BAX Securities Law® is one of Toronto’s leading capital markets boutique law firms. Our experience includes innovative products and structures in the proptech, fintech, debt and crypto spaces.
BAX Securities Law is pleased to invite friends and colleagues to the next meeting on Thursday, March, 19, 2026, at 9:30 am at Chefs Hall, 111 Richmond St. W. in downtown Toronto (Lost Coffee area). The Toronto Business Lawyers…
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.…
The Ontario Securities Commission (OSC) has published OSC Staff Notice 33-760 Digital Engagement Practices: Focused Compliance Examination of Online Retail Platforms (The Staff Notice). The Staff Notice outlines the regulator’s findings and provides guidance on…
The British Columbia Securities Commission (BCSC) has published BC Notice 15-702 Prohibitions against Misrepresentations and False or Misleading Statements (The Staff Notice). The Staff Notice provides guidance about the prohibitions in sections 50(2) and 50(3) of the British Columbia Securities Act (the Act) against misrepresentations…
The British Columbia Securities Commission (BCSC)’s most recent Compliance Report Card of investment dealers and advisers reflects the past year’s focus on marketing materials these firms use to attract and retain clients. The Report Card highlights several recurring deficiencies in how some B.C.-based portfolio managers, investment…
On September 23, 2021 the Canadian Securities Administrators (CSA) and the Investment Industry Regulatory Organization of Canada (IIROC) published a staff notice (Notice) concerning certain advertising activities and marketing strategies by platforms that trade crypto assets (Crypto- Trading Platforms, or CTPs) that may breach certain…
On May 14, 2019, the Ontario Securities Commission (OSC) and the Securities and Exchange Commission (SEC) concluded separate settlement agreements with Toronto-based NextBlock Global Limited (NextBlock) and its chief promoter, Alex Tapscott over the making of misleading statements. In June of 2017, Tapscott, who served…