by Barbara Hendrickson | Oct 14, 2020
On October 8, 2020 Barbara Hendrickson gave a Zoom presentation to the Toronto Business Lawyers Association on recent enforcement initiatives by the Ontario Securities Commission against participants in the securities markets. The presentation discusses recent changes...
by Barbara Hendrickson | Sep 24, 2020
On September 16, 2020 the TSX Venture Exchange (the “Exchange”) issued a bulletin on minimum pricing requirements. The Exchange had previously issued a bulletin (the “April 8, 2020 Bulletin”) providing notice that in response to the COVID-19 pandemic, the Exchange...
by Barbara Hendrickson | Sep 22, 2020
The Canadian Securities Administrators (CSA) published a notice on September 17, 2020 for comment proposed changes to the offering memorandum prospectus exemption. The changes are reflected in proposed amendments to National Instrument 45-106 Prospectus...
by Barbara Hendrickson | Sep 22, 2020
The Canadian Securities Administrators (CSA) published on September 18, 2020 in a notice (Notice) guidance to help investment fund managers develop and maintain effective liquidity risk management frameworks for investment funds. The Notice states that liquidity...
by Barbara Hendrickson | Sep 18, 2020
On September 17, 2020 the Canadian Securities Administrators (CSA) published a notice (Notice) that the CSA are adopting amendments (Amendments) to National Instrument 81-105 Mutual Fund Sales Practices (NI 81-105), changes to Companion Policy 81-105CP Mutual Fund...
by Barbara Hendrickson | Sep 18, 2020
The securities regulators of Alberta, Manitoba, New Brunswick, Nova Scotia, Ontario, Quebec, and Saskatchewan (the participating jurisdictions) have jointly announced they are postponing the publication CSA Multilateral Staff Notice 58-311 Report on Fifth Staff Review...
by Barbara Hendrickson | Sep 3, 2020
The U.S. Securities and Exchange Commission (SEC) announced on August 26, 2020 that it was adopting amendments to the “accredited investor” definition, one of the principal tests for determining who is eligible to participate in private capital markets. The...
by Barbara Hendrickson | Sep 2, 2020
The Ontario Securities Commission (OSC) recently published that an email was sent to stakeholders who the OSC identified as likely being impacted by the transfer of regulatory oversight of certain syndicated mortgage investment (SMI) activity to the OSC. The OSC...
by Barbara Hendrickson | Aug 25, 2020
The Canadian Securities Administrators (CSA) on August 20, 2020 announced amendments and changes to National Instrument 51-102 Continuous Disclosure Obligations (NI 51-102) (Amendments). The Amendments which are expect to be effective on November 18, 2020 are...
by Barbara Hendrickson | Aug 25, 2020
BAX Securities Law is pleased to announce that Barbara Hendrickson has been appointed to serve on the Ontario Bar Association’s Council for the 2020-2021 year. The role of Council is to communicate with their constituents and share information about the OBA’s...
