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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...

CSA issues Guidance on Climate-Change Related Disclosure

by Barbara Hendrickson | Aug 6, 2019

With the publication of CSA Staff Notice 51-358, Reporting of Climate Change-Related Risks (the Staff Notice), the Canadian Securities Administrators (CSA) continue to set forth their expectations regarding the disclosure by issuers of material risks posed by climate...

CSA Staff Notice 51-356 Problematic Promotional Activities by Issuers

by Barbara Hendrickson | Feb 13, 2019

The Canadian Securities Administrators (“CSA”) has published CSA Staff Notice 51-356, Problematic Promotional Activities by Issuers (“CSA Staff Notice 51-356”).  CSA staff have noted with concern instances by activities by some issuers that include questionable...

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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