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The CSA sign Fintech co-operation agreement with the Securities and Futures Commission of Hong Kong

by Barbara Hendrickson | Aug 19, 2021

On July 8, 2021, the Canadian Securities Administrators (CSA) signed an innovative functions co-operation agreement with the Securities and Futures Commission of Hong Kong (SFC). The members are the securities regulatory authorities in British Columbia, Alberta,...

CSA Position Paper 25-404 – New Self-Regulatory Organization Framework

by Barbara Hendrickson | Aug 19, 2021

On August 3, 2021, the Canadian Securities Administrators (CSA) released a framework for replacing the two major Canadian Self- Regulatory Organizations (SROs) – the Investment Industry Regulatory Organization of Canada (IIROC) and the Mutual Fund Dealers Association...

TSXV Temporary Relief of $0.05 Minimum Pricing Requirement – Further Extension

by Barbara Hendrickson | Jun 29, 2021

On June 17, 2021, the TSX Venture Exchange (the “Exchange”) followed up on a previously issued bulletin (the “April 8, 2020 Bulletin”) that provided notice that, in response to the COVID-19 pandemic, the Exchange would provide temporary relief (the “Temporary Relief”)...

Canadian securities regulators publish final rule for non-GAAP and other financial measures

by Barbara Hendrickson | Jun 29, 2021

On May 27, 2021, the Canadian Securities Administrators (CSA) today published disclosure requirements for issuers that disclose non-GAAP (generally accepted accounting principles) and other financial measures on a voluntary basis )National Instrument 52-112 Non-GAAP...

Canadian securities regulators seek comment on proposal to streamline continuous disclosure requirements

by Barbara Hendrickson | Jun 29, 2021

On May 20, 2021, the Canadian Securities Administrators (CSA) published changes to the continuous disclosure requirements for non-investment fund reporting issuers. The proposed amendments: Streamline and clarify certain disclosure requirements in the management’s...

Canadian securities regulators sign fintech co-operation agreement with the Financial Services Commission, Mauritius

by Barbara Hendrickson | Jun 29, 2021

On June 23, 2021, certain members of the Canadian Securities Administrators (CSA) signed a fintech co-operation agreement with the Financial Services Commission, Mauritius (FSC Mauritius). The members are the securities regulatory authorities in British Columbia,...

BCSC tackles stock promotions with proposal for greater disclosure

by Barbara Hendrickson | Jun 29, 2021

On May 26, 2021, the British Columbia Securities Commission (BCSC) published for comment a new rule that is designed to make promotions of companies with a connection to British Columbia to become more transparent. According to the BCSC, the new rules are designed to...

Canadian securities regulators adopt new nationally harmonized start-up crowdfunding rules

by Barbara Hendrickson | Jun 29, 2021

On June 23, 2021, the Canadian Securities Administrators (CSA) harmonized rules for securities crowdfunding. National Instrument 45-110 Start-up Crowdfunding Registration and Prospectus Exemptions (Start-up Crowdfunding Rule) introduces a single, uniform set of rules...

Barbara Hendrickson speaks at Law Society of Ontario Conference – Emerging Issues in Directors’ and Officers’ Liability 2021

by Barbara Hendrickson | May 4, 2021

On April 21, 2021, Barbara Hendrickson spoke at a virtual conference sponsored by the Law Society of Ontario on “The COVID Pandemic: Implications for Directors and Officers”. To view the PowerPoint presentation: The COVID Pandemic: Implications for Directors and...

The ASC and the FCAA publishes proposed CSA Multilateral Notice of Implementation 45-538 Self-Certified Investor Prospectus

by Barbara Hendrickson | May 4, 2021

On March 31, 2021, the Alberta Securities Commission (ASC) and the Financial and Consumer Affairs Authority of Saskatchewan (FCAA) adopted a new prospectus exemption CSA Multilateral Notice of Implementation 45-538 Self-Certified Investor Prospectus Under the new...
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