by Barbara Hendrickson | Mar 15, 2019
On February 22, 2019, the Ontario Securities Commission (OSC) issued an interjurisdictional order, permanently forbidding USI-Tech Management Limited (USI -Tech) from trading in or acquiring securities, and from trading in derivatives in the province of Ontario (the...
by Barbara Hendrickson | Mar 13, 2019
Barbara Hedrickson, of BAX Securities Law, was prominently quoted a recent article in the Law Times. The article, Solo lawyers, small firms strive for seats at Convocation, by staff writer Anita Balakrishnan, profiled solo legal practitioners and lawyers practicing in...
by Barbara Hendrickson | Mar 4, 2019
On February 15, 2019, the Ontario Securities Commission (OSC) declined to approve the prospectus (the prospectus) for The Bitcoin Fund (the Fund), which is managed by 3iQ Corp (the Manager). In his 17-page decision, the OSC’s Raymond Chan, Acting Director of...
by Barbara Hendrickson | Feb 28, 2019
On February 27, 2019, the Ontario Securities Commission released OSC Staff Notice 45-716, Exempt Market Report, 2018 (Staff Notice 45-716, The Exempt Market Report), which provides an overview on the state on the Ontario exempt markets in 2017. The findings...
by Barbara Hendrickson | Feb 24, 2019
On February 21, 2019, the Canadian Securities Administrators (CSA) published CSA Staff Notice 45-324 Update on the Start-up Crowdfunding Registration and Prospectus Exemptions (CSA Staff Notice 45-324), providing an update on the progress of a proposed national...
by Barbara Hendrickson | Feb 23, 2019
On February 15, 2019, the British Columbia Securities Commission (BCSC) published a variation order (the Variation Order) for BC Instrument 21-502, Exemption from Certain Filing Requirements for Out-of-Province Alternative Trading Systems (BCI 21-502), removing the...
by Barbara Hendrickson | Feb 19, 2019
Barbara Hendrickson, of BAX Securities Law has announced her candidacy in the Law Society of Ontario’s (LSO) 2019 Bencher Election.The Benchers, who sit on the LSO’s Convocation, play a vital role in determining policy and guidance regarding Ontario’s lawyers and...
by Barbara Hendrickson | Feb 19, 2019
Barbara Hendrickson, CEO and Founder of BAX Securities Law, was recently interviewed by Antonio DiMinno, host of the Legal Entrepreneurs Podcast. Barbara speaks about her background in the public sector, working for the Ontario Securities Commission (OSC), and in the...
by Barbara Hendrickson | Feb 13, 2019
The Canadian Securities Administrators (“CSA”) has published CSA Staff Notice 51-356, Problematic Promotional Activities by Issuers (“CSA Staff Notice 51-356”). CSA staff have noted with concern instances by activities by some issuers that include questionable...
by Barbara Hendrickson | Feb 8, 2019
The death of Canadian crypto exchange QuadrigaCX CEO Gerald Cotton in December 2018 and the platform’s subsequent filing for creditor protection under the Companies’ Creditors Arrangement Act (CCAA) on February 5th has left company officials struggling to locate...
