by Barbara Hendrickson | Sep 9, 2017
In late July 2017, the Canadian Securities Administrators (CSA) published the final amendments (the Amendments) to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (NI 31-103) and National Instrument 33-109...
by Barbara Hendrickson | Sep 4, 2017
On August 24, 2017, the Canadian Securities Administrators (“CSA”) published CSA Staff Notice 46-307 Cryptocurrency Offerings (“Notice”), to address the increasing number of cryptocurrency offerings, either through Initial Token Offerings (“ITOs”) or Initial Coin...
by Barbara Hendrickson | Aug 28, 2017
On July 14, 2017 the Ontario Securities Commission (“OSC”) published its 278-page decision respecting Sino-Forest. The panel found that the respondents, former CEO Allan Chan and three other executives of Sino-Forest Corporation – Alfred Hung, George Ho and Albert Ip...
by Barbara Hendrickson | Aug 19, 2017
On July 29, 2017, the securities regulatory authorities in Ontario, Québec, Alberta, Manitoba and New Brunswick (the participating jurisdictions) published CSA Multilateral Staff Notice 61-302 Staff Review and Commentary on Multilateral Instrument 61-101 Protection of...
by Barbara Hendrickson | Aug 16, 2017
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by Barbara Hendrickson | Aug 3, 2017
On July 13, 2017, the Canadian Securities Administrators (“CSA”) published CSA Staff Notice CSA 33-320, The Requirement for True and Complete Applications for Registration to state its concern to stakeholders regarding what it calls the “serious problem” of...
by Barbara Hendrickson | Jun 30, 2017
On June 15, 2017, the Ontario Securities Commission (“OSC”) released OSC Staff Notice 45-715, 2017 Ontario Exempt Market Report (“Report”) which summarizes capital raising activity in 2015 and 2016 by corporate (non-investment fund) issuers in Ontario’s exempt market....
by Barbara Hendrickson | Jun 9, 2017
On May 18, 2017, the Canadian Securities Administrators (“CSA”) released CSA Staff Notice 31-350 Guidance on Small Firms Compliance and Regulatory Obligations (“Staff Notice”). The Staff Notice was the result of a two-year compliance review of 65 small firms, lasting...
by Barbara Hendrickson | May 29, 2017
On May 21, 2017 the Canadian Securities Administrators (“CSA”) released CSA Staff Notice 33-319 Status Report on CSA Consultation Paper 33-404 Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives Toward Their Clients (“Staff Notice”). The...
