Barbara Hendrickson quoted in Law Times article Focus: Social media use should comply with securities law, August 14, 2017
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CSA Staff Notice 33-320, The Requirement for True and Complete Applications for Registration, August 2, 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 applications for registration that contain false or…
OSC Staff Notice 45-715, 2017 Ontario Exempt Market Report
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. The Report also examines the impact of…
CSA Staff Notice 31-350 – Guidance on Small Firms Compliance and Regulatory Obligations, June 6, 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 from October 2014 to June…
Barbara Hendrickson speaks at the Toronto Lawyers Association “TLA – True or False: Corporate Lawyers need to be Securities” Lawyers, June 1, 2017
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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
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 goal of the Staff Notice was to provide…
CSA Consultation Paper 51-404 Considerations for Reducing Regulatory Burden for Non-Investment Fund Reporting Issuers, May 11, 2017
On April 6, 2017 the Canadian Securities Administrators (“CSA”) released CSA Consultation Paper 51-404 Considerations for Reducing Regulatory Burden for Non-Investment Fund Reporting Issuers. The goal of the paper is to identify and consider areas of securities legislation applicable to non-investment fund reporting issuers that…
CSA Staff Notice 45-323: Update on Use of the Rights Offering Exemption in National Instrument 45-106 Prospectus Exemptions, May 10, 2017
On April 20, 2017, the Canadian Securities Administrators (“CSA”) published CSA Staff Notice 45-323 Update on Use of the Rights Offering Exemption in National Instrument 45-106 Prospectus Exemptions which reviewed the use of the revised right offering exemption which was effective December 8, 2015 (the…
Canadian Securities Regulators Publish for comment National Instrument 91-102 Prohibition of Binary Options, May 7, 2017
On April 26, 2017, the Canadian Securities Administrators (“CSA”) (other than the British Columbia Securities Commission) published for comments, proposed National Instrument 91-102 Prohibition of Binary Options and proposed Companion Policy 91-102 Prohibition of Binary Options (together, the “Proposed Instrument”), which would prohibit the advertising,…
Barbara Hendrickson quoted in the Canadian Legal Newswire In-house Edition – Incenting Securities Snitches, May 1, 2017
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