News and Updates
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BAX Securities Law Invites you to Funding Your Fintech: Navigating the Drought in Canadian Venture Capital
October 23, 2025 9:30AM EST Webinar Please join Barbara Hendrickson and Robb Miller for our webinar on “Funding Your Fintech: Navigating the Drought in Canadian Venture Capital.” The webinar is in first as a series of seminars sponsored by BAX Securities Law focusing on Fintechs operating and thriving in the Canadian capital markets. The Canadian…
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BCSC Compliance Report Card Highlights 2024 Compliance Reviews
The British Columbia Securities Commission (BCSC) has published its 2024 Annual Compliance Report Card (the Report Card), which details the know-your-client (KYC) deficiencies of BC investment firms that underwent compliance reviews. The Report Card notes that the regulator conducted 19 compliance reviews and found 130 deficiencies, with an average of 6.84 deficiencies per review. Of…
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OSC Provides Update On Initiatives To Support Capital-Raising For Early-Stage Businesses
The Ontario Securities Commission (OSC) recently provided an update on OSC TestLab: Early-Stage Capital Raising (Early-Stage Capital Raising), a set of initiatives to support capital-raising for early-stage Ontario businesses announced in May 2024. OSC TestLab (TestLab) is an OSC testing program for capital market innovations and new approaches to regulation aimed at fostering innovation and…
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CSA Adopts Final Amendments To Mandatory Central Counterparty Clearing Of Derivatives
The Canadian Securities Administrators (CSA) has published final amendments to National Instrument 94-101 Mandatory Central Counterparty Clearing of Derivatives (NI 94-101) (The Final Amendments). The amendments were finalized after considering comments received on proposed amendments published in 2024 (in 2025 for the BC Securities Commission). The Final Amendments aim to update the list of mandatory…
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Canadian Securities Regulators Launch Consultation On Proposed Harmonized Multilateral Self-Certified Investor Prospectus Exemption
The securities regulators of Alberta, Manitoba, New Brunswick, Newfoundland and Labrador, Northwest Territories, Nova Scotia, Nunavut, Ontario, Prince Edward Island, Saskatchewan, and Yukon (the Participating Jurisdictions) have published Proposed Multilateral Instrument 45-111 Self-Certified Investor Prospectus Exemption (the Proposed Exemption) for review and comment for a period ending January 5, 2026. The Proposed Exemption details a…
About BAX Corporate Securities & Financial Services Lawyers
BAX practises in the securities and financial services regulatory areas and has acted as counsel to major Canadian and American corporations, market participants.
Legal Services
If you wish to discuss retaining BAX Securities Law to provide you with legal services, please contact:
Barbara Hendrickson
Managing Partner
416.601.1004
bhendrickson@baxsecuritieslaw.com
BAX Securities Law is one of Canada’s leading corporate securities law firms
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