by Barbara Hendrickson | Jul 21, 2023
The Canadian Securities Administrators (CSA) has welcomed two new developments in the field of Climate-Related Disclosure. The first, on June 26th, is the publication by the International Sustainability Standards Board (ISSB)’s first two sustainability disclosure...
by Barbara Hendrickson | Jul 13, 2023
BAX Securities Law is pleased to announce that Barbara Hendrickson has been appointed to a second two year term with the BCSC Fintech Advisory Forum. The Forum is made up of financial technology (fintech) industry professionals and experts and advises BCSC staff on...
by Barbara Hendrickson | Jul 10, 2023
The Ontario Securities Commission (OSC) has published a report aimed at guiding public accounting firms to develop and implement robust internal ethical policies and procedures (OSC Staff Notice 52-724, Considerations for Public Accounting Firms in Developing Internal...
by Barbara Hendrickson | Jun 15, 2023
Participating members of the Canadian Securities Administrators (CSA) are issuing exemptions from certain filing requirements (the blanket orders) due to delays in the implementation of SEDAR+. The CSA now expects the launch date to be July 25, 2023, with a...
by Barbara Hendrickson | Jun 5, 2023
The Canadian Securities Administrators (CSA) have postponed the launch of SEDAR+ from June 13, 2023 to July 25, 2023. SEDAR+ is the new system that will be used by all market participants to file, disclose, and search for issuer information in Canada’s capital...
by Barbara Hendrickson | Jun 5, 2023
The Canadian Securities Administrators (CSA) have published CSA Staff Notice 45-330: Frequently Asked Questions about the Listed Issuer Financing Exemption (The Staff Notice). The Staff Notice answers some of the frequently asked questions (FAQs) on the listed issuer...
by Barbara Hendrickson | Jun 5, 2023
The Canadian Securities Administrators (CSA) is launching a review of the use of chargebacks in the mutual fund industry. The CSA is undertaking this review due to concerns about potential conflicts of interest associated with this practice. A chargeback involves an...
by Barbara Hendrickson | Apr 27, 2023
In accordance with the Process for the Review and Approval of Rules and the Information Contained in Form 21-101F1 and the Exhibits Thereto, CNSX Markets Inc. (CSE) has proposed, and the Ontario Securities Commission (the OSC) has approved significant changes (the...
by Barbara Hendrickson | Apr 27, 2023
The Canadian Securities Administrators (CSA) has published CSA Staff Notice 25-310 2022 Annual Activities Report on the Oversight of Self-Regulatory Organizations (SROs) and Investor Protection Funds (IPFs) (The Annual Report). The Annual Report summarizes key...
by Barbara Hendrickson | Apr 18, 2023
The Canadian Securities Administrators (CSA) recently announced in of CSA Staff Notice 21-332 (the Staff Notice) a change in the Pre-Registration Undertaking (PRU) that certain unregistered crypto asset trading platforms have filed a with their principal regulator....
