by Barbara Hendrickson | Feb 26, 2018
On February 14, 2018, the British Columbia Securities Commission (BCSC) published for comment BC Notice 28/01, Notice and Request for Comment Consulting on the Securities Law Framework for Fintech Regulation (the Notice), with the aim of understanding the nature and...
by Barbara Hendrickson | Feb 5, 2018
On January 20, 2018, the Ontario Securities Commission (“OSC”) published proposed changes to OSC Policy 15-601, The Whistleblower Program (“Policy”) for a 60-day comment period, ending March 20, 2018 (“Notice”). The Notice clarifies the role of in-house counsel and...
by Barbara Hendrickson | Jan 16, 2018
Congratulations to Barbara Hendrickson for her appointment to the Securities Advisory Committee (SAC). Barbara is one of four new members that the Ontario Securities Commission (OSC) recently announced who will be participating on its Securities Advisory Committee...
by Barbara Hendrickson | Jan 6, 2018
The Lawyer’s Daily, spoke to Barbara Hendrickson of BAX Securities Law and other firms with strong technology practices about what their predictions were for the upcoming year in legal tech. Here’s the link to the article that includes Barbara’s comments...
by Barbara Hendrickson | Jan 3, 2018
On November 28, 2017, the Ontario Securities Commission (OSC) adopted its final rule regarding distributions outside Canada, OSC Rule 72-503 – Distributions Outside Canada (The Final Rule), including Form 72-503F Report of Distributions Outside Canada (The Final...
by Barbara Hendrickson | Dec 23, 2017
On December 14, 2017, the Competition Bureau (the Bureau) published the final draft of its examination of Canada’s Fintech markets, Technology-Led Innovation in the Canadian Financial Services Sector, A Market Study, December 2017. The report is very similar to the...
by Barbara Hendrickson | Dec 20, 2017
Effective December 15, 2017, the securities regulators in the participating jurisdictions of British Columbia, Alberta, Saskatchewan, New Brunswick, Prince Edward Island, Nova Scotia, Newfoundland and Labrador, Yukon, Northwest Territories, and Nunavut (the...
by Barbara Hendrickson | Dec 19, 2017
On December 14, 2017, the Canadian Securities Administrators (CSA) issued CSA Staff Notice 23-320, Consideration of the Markets in Financial Instruments Directive (MiFID II) Unbundling Requirements on the Regulatory Requirements in Canada (Staff Notice 23-320),...
by Barbara Hendrickson | Dec 14, 2017
On December 7, 2018, the Canadian Securities Administrators (CSA), the Investment Industry Regulatory Organization of Canada (IIROC), and the Mutual Fund Dealers Association of Canada (MFDA) (the regulators) jointly released CSA Staff Notice 31-351, IIROC Notice...
by Barbara Hendrickson | Nov 24, 2017
In January 2017, the Canadian Securities Administrators (the “CSA”) published CSA Multilateral Staff Notice 51-347: Disclosure of Cyber Security Risks and Incidents (the “Staff Notice”), the findings of a review of the disclosure provided by the constituents of the...
