by Barbara Hendrickson | Oct 23, 2019
The TSX Venture Exchange (TSXV) has announced amendments (the Amendments) to its Corporate Finance Manual (the Manual) to reduce the frequency by which directors, officers, promoters, and other insiders (individuals) have to submit a Form 2A (The Personal...
by Barbara Hendrickson | Oct 23, 2019
The newly-created Financial Services Regulatory Authority of Ontario (FSRA), has announced a standardized approach to guidance (the New Approach), replacing the legacy systems it had inherited from its predecessor regulatory bodies. This change had come in response to...
by Barbara Hendrickson | Oct 16, 2019
The Canadian Securities Administrators (CSA), along with its participating jurisdictions, have published Notice and Request for Comment Proposed Amendments to National Instrument 52-108 Auditor Oversight and Proposed Changes to Companion Policy 52-108 Auditor...
by Barbara Hendrickson | Oct 11, 2019
The Canadian Securities Administrators (CSA), along with its participating jurisdictions, have published Amendments to NI-31-103, Registration Requirements, Exemptions and Ongoing Registrant Obligations, and to its allied companion policy, CP-31-103 (together, the...
by Barbara Hendrickson | Oct 9, 2019
As part of the Financial Services Regulatory Authority (FSRA) of Ontario’s mandate was the new regulator’s introduction of Principles Based Regulation (PBR), representing a marked shift from previous provincial regulatory regimes. The PBR approach integrates the...
by Barbara Hendrickson | Oct 7, 2019
The Canadian Securities Administrators (CSA), along with its participating jurisdictions, have published Multilateral Staff Notice, 58-311, Report on Fifth Staff Review of Disclosure Regarding Women on Boards and in Executive Officer Positions (the Report). In...
by Barbara Hendrickson | Oct 6, 2019
With the publication of BC Instrument 13-502, Electronic filing of Reports of Exempt Distribution (the Instrument) and its Companion Policy, 13-502CP (the Companion Policy), the British Columbia Securities Commission (BCSC) has set forth procedures and expectations...
by Barbara Hendrickson | Sep 24, 2019
A British Columbia Securities Commission (BCSC) panel has imposed a total of CAD $1.7 million in fines and lifetime securities trading bans on three British Columbia men and two Mortgage Investment Corporations (MICs) after finding them guilty of committing fraud. At...
by Barbara Hendrickson | Sep 19, 2019
The Ontario Securities Commission (OSC) has announced that it is amending the fee rules (the Rules) for the submitting of annual capital market participation fee forms (the Fee Forms) to the OSC to allow market participants great flexibility. All market participants...
by Barbara Hendrickson | Sep 18, 2019
The Ontario Securities Commission (OSC) has published its 2019 Annual Report (the Annual Report), providing a snapshot of the regulator’s initiatives and actions over the past year. In the Annual Report, the OSC noted that in 2018 -2019: • there were 68,366 registered...
