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CSA Seeks Comment on Proposed Amendments to Business Acquisition Report Requirements

by Barbara Hendrickson | Sep 6, 2019

The Canadian Securities Administrators (CSA) have published for a request for comment to proposed amendments to the business acquisition report (BAR) requirements for reporting issuers that are not venture issuer (e.g. an investment fund). The ninety-day comment...

Royal Bank of Canada, Toronto Dominion Bank to Pay OSC Over $24 Million for Foreign Exchange Compliance Failures

by Barbara Hendrickson | Sep 4, 2019

The Royal Bank of Canada (RBC) and the Toronto Dominion Bank (TD) have agreed to pay the Ontario Securities Commission (OSC) over CAD $24 million for their failure to properly supervise their respective Foreign Exchange (FX) traders who exchanged confidential client...

Canadian Securities Administrators Issue Staff Notice 31-356, Guidance on Compliance Consultants Engaged by Firms Following a Regulatory Decision

by Barbara Hendrickson | Aug 27, 2019

The Canadian Securities Administrators (CSA) has provided guidance to firms seeking to engage the services of compliance consultants (Consultants) following a regulatory decision. CSA Staff Notice 31-356, Guidance on Compliance Consultants (The Staff Notice) defines...

Ontario Securities Commission Issues Staff Notice 11-787 Improving Fee Disclosure Through Behavioural Insights

by Barbara Hendrickson | Aug 27, 2019

The Ontario Securities Commission (OSC) has issued Staff Notice 11-787 Improving Fee Disclosure Through Behavioural Insights (the Staff Notice), outlining the findings of a research report (the Report) aimed at improving the investor’s experience with correspondingly...

FSRA Issues Request for Comment on Proposed Supervision Approach to High-Risk Syndicated Mortgages and Publishes New Fee Rule for Non Qualified Syndicated Mortgages

by Barbara Hendrickson | Aug 17, 2019

The Financial Services Regulatory Authority (FSRA) of Ontario’s approach to syndicated mortgage investments started to take shape with the publication of two key documents early in August. The first was the regulator’s Request for Comment – Proposed Supervision...
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About BAX Corporate Securities & Financial Services Lawyers

BAX practises in the securities and financial services regulatory areas and has acted as counsel to major Canadian and American corporations, market participants.

Legal Services

If you wish to discuss retaining BAX Securities Law to provide you with legal services, please contact:

Barbara Hendrickson
Managing Partner
416.601.1004
bhendrickson@baxsecuritieslaw.com

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390 Bay Street, Suite 1000 Toronto, ON M5H 2Y2

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