The Canadian Securities Administrators (CSA) have published CSA Staff Notice 33-322 Review of Registered Firms’ Cybersecurity Practices and Additional Guidance (The Staff Notice). The Staff Notice follows a focused compliance examination sweep of 73 registered…
The Canadian Securities Administrators (CSA) has published CSA Consultation Paper 51-406 Modernizing the Regulation of Public Companies (the Consultation Paper) for a 120-day comment period ending November 13, 2026. The Consultation Paper is seeking stakeholder…
The Canadian Securities Administrators (CSA) has published proposed amendments to National Instrument 45-106 Prospectus Exemptions and changes to the Companion Policy 45-106P (the Proposed Amendments), for a 90-day comment period ending October 21, 2026. The…
When news of a whistleblowing award becomes public in Canadian financial circles it usually makes news; not only from the size of the award, but also the very fact that someone has felt it necessary…
The Canadian Securities Administrators (CSA) recently announced the publication of final amendments to the principal distributor model (the Final Amendments) in the distribution of mutual fund securities. The Final Amendments clarify that a dealer may…
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…
CNSX Markets Inc., operator of the Canadian Securities Exchange (CSE) is proposing amendments (the Proposed Amendments) to the CSE Listing Policies (the Policies) and have made then available for comment for a period ending July…
Toronto, June 1, 2026: BAX Securities Law is pleased to announce the 10th year anniversary of the Toronto Business Lawyers Association (TBLA). The TBLA was created by Barbara Hendrickson, founder of BAX Securities Law, to provide business lawyers in…
The Canadian Securities Administrators (CSA) including the Ontario Securities Commission (OSC) has published Coordinated Blanket Order 33-930 Exemptions from Requirements to Submit Certain Personal Information (the Coordinated Blanket Order), which provides temporary exemptions under National…