by Barbara Hendrickson | Jan 27, 2025
The U.S. Securities and Exchange Commission (SEC) published a press release on January 21, 2025 (“Press Release”) stating that it has launched a task force dedicated to developing a regulatory framework for crypto assets (“Task Force”). SEC Commissioner Hester Peirce...
by Barbara Hendrickson | Jan 10, 2025
Toronto, January 10, 2025: BAX Securities Law is pleased to announce that the firm has resumed its sponsorship of the Toronto Business Lawyers Association (TBLA) networking and business development monthly meetings. Barbara Hendrickson, Managing Partner of BAX...
by Barbara Hendrickson | Dec 22, 2024
The Canadian Investment Regulatory Organization (CIRO) has published proposed amendments to its continuing education (CE) programs under the Investment Dealer Partial Consolidated (IDPC) Rules and the Mutual Fund Dealer (MFD) Rules (The Proposed Amendments). CIRO had...
by Barbara Hendrickson | Dec 17, 2024
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...
by Barbara Hendrickson | Dec 12, 2024
The Ontario Securities Commission (OSC) recently published its findings from a focused compliance review of crypto asset trading platforms (CTPs). OSC Staff Notice 33-757 Review of Restricted Dealer Crypto Asset Trading Platforms’ Compliance with the Account...
by Barbara Hendrickson | Dec 10, 2024
The Canadian Securities Administrators (CSA) have published CSA Staff Notice and Consultation 11-348 – Applicability of Canadian Securities Laws and the Use of Artificial Intelligence Systems in Capital Markets (the Staff Notice), intended to provide guidance on how...
by Barbara Hendrickson | Dec 10, 2024
Toronto, December 7, 2024: BAX Securities Law is pleased to announce that the firm has resumed its sponsorship of the Toronto Business Lawyers Association (TBLA) networking and business development monthly meetings. Barbara Hendrickson, Managing Partner of BAX...
by Barbara Hendrickson | Dec 5, 2024
According to results of the third annual systemic risk survey (The Survey) recently published by Canadian Securities Administrators (CSA), Canadian investment dealers and portfolio managers are less concerned about Canadian financial stability than last year. The...
by Barbara Hendrickson | Dec 5, 2024
In response to the current Canadian postal strike, the Canadian Securities Administrators (CSA) is providing temporary relief from requirements to deliver proxy-relate material for annual meetings through a temporary exemption from certain requirements in National...
by Barbara Hendrickson | Dec 5, 2024
The Canadian Securities Administrators (CSA) are adopting amendments to National Instrument 41-101 General Prospectus Requirements (NI 41-101), National Instrument 81-101 Mutual Fund Prospectus Disclosure (NI 81-101), related consequential amendments to NI 41- 101, NI...
