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Canadian Securities Regulators Publish Report on Continuous Disclosure Review

by Barbara Hendrickson | Nov 14, 2022

The Canadian Securities Administrators (CSA) recently published CSA Staff Notice 51-364 Continuous Disclosure Review Program Activities for the fiscal years ended March 31, 2022 and March 31, 2021 (the Staff Notice, the Review), a biennial review of its continuous...

Canadian Securities Administrators Complete Eighth Review of the Representation of Women on Boards and in Executive Officer Positions in Canada

by Barbara Hendrickson | Oct 28, 2022

Participating Canadian securities regulatory authorities recently published the results their eighth annual review of disclosures relating to women on boards and in executive officer positions. The findings summarize the corporate governance disclosures of 625...

OSC Pilots Self-Certified Investor Prospectus Exemption

by Barbara Hendrickson | Oct 28, 2022

The Ontario Securities Commission (OSC) recently launched an 18-month pilot, providing a prospectus exemption (the prospectus exemption) to those Ontario investors with qualifying education or work experience access to increased investment opportunities. The exemption...

Webinar Invite: The evolution of cryptocurrency dealer regulation in Canada: AML and beyond

by Barbara Hendrickson | Oct 26, 2022

  Please join Barbara Hendrickson and Addison Cameron-Huff on November 9th at 12:00 PM EST for a webinar to discuss the evolving Canadian regulatory landscape for cryptocurrency and other digital assets.  Speakers will address: Recent regulatory guidance from the...

Canadian securities regulators consider impact of international developments on proposed climate-related disclosure rule

by Barbara Hendrickson | Oct 19, 2022

In October 2021, the Canadian Securities Administrators (CSA) published the Proposed National Instrument NI 51-107 Disclosure of Climate-related Matters (the Proposed National Instrument) for comment. Before publishing the Proposed National Instrument, CSA staff noted...

Canadian Securities Regulators Strengthening Ombudsman for Banking Services and Investments

by Barbara Hendrickson | Oct 19, 2022

The Canadian Securities Administrators (CSA) is developing a proposal for comment that contemplates providing the Ombudsman for Banking Services and Investments (OBSI) with the authority to make awards that are binding on firms. CSA members continue to develop the...

TSX Venture Exchange Publishes Update on Listed Issuer Financing Exemption

by Barbara Hendrickson | Oct 11, 2022

TSX Venture Exchange (TSX-V) recently published an update for members on the Canadian Securities Administrators’ (CSA) Listed Issuer Financing Exemption (the Exemption) (discussed in-depth here). The Exemption is designed to streamline the capital raising process for...

MFDA and IIROC Members Approve the Creation of a Single New SRO

by Barbara Hendrickson | Oct 4, 2022

The members of the Mutual Fund Dealers Association of Canada (MFDA) and the Investment Industry Regulatory Organization of Canada (IIROC) have passed a special resolution approving the amalgamation of the two self-regulatory organizations (SROs) into a new single SRO,...

Canadian Securities Regulators Propose Access-Based Model for Investment Fund Reporting Issuers

by Barbara Hendrickson | Sep 29, 2022

The Canadian Securities Administrators (CSA) has proposed a series of amendments that would provide an alternative to delivering financial statements and management reports of fund performance for investment fund reporting issuers (the Proposed Amendments). The...

Canadian Securities Regulators Initiate Review of Mutual Fund Securities Distribution through a Principal Distributor

by Barbara Hendrickson | Sep 29, 2022

The Canadian Securities Administrators (CSA) is reviewing the practices of mutual funds that have principal distributor relationships with registrants to distribute their securities. The goal of the review is to gauge whether additional updates to the mutual fund...
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