Mondaq Canada: Corporate/Commercial Law > Securities
Affleck Greene McMurtry LLP
IIROC guidance highlights limitations on limitation of liability clauses in retail client account agreements.
Blake, Cassels & Graydon LLP
With an ever-shifting regulatory landscape filled with complex and evolving risks, public companies need to be vigilant in ensuring...
Norton Rose Fulbright Canada LLP
At the conclusion of a six day hearing, the Hearing Panel determined that Staff had succeeded in proving all of its allegations.
Blake, Cassels & Graydon LLP
The Ontario Securities Commission (OSC) recently released its 2019 OSC Annual Report (Report), which provides enforcement statistics from 2019 and discusses the OSC's priorities for 2020.
Gowling WLG
On Sept. 25, 2019, Wikileaf Technologies Inc. began trading on the Canadian Securities Exchange ("CSE") under the ticker symbol "WIKI".
Norton Rose Fulbright Canada LLP
Some of the investors were unsophisticated congregants investing for retirement.
Siskinds LLP
This has been the year of cannabis market sector scandals. Headlines have been thick and fast. Investor losses have been significant.
Stikeman Elliott LLP
Les Autorités canadiennes en valeurs mobilières (ACVM) souhaitent alléger l'obligation de déclarer une acquisition d'entreprise imposée aux émetteurs assujettis. Les ACVM proposent une ...
Fasken
On September 12, 2019, the Ontario Securities Commission (the OSC) issued a news release regarding certain amendments as to who can certify a registrant's annual fee calculation form in Ontario ...
Affleck Greene McMurtry LLP
The Ontario Securities Commission recently approved settlement agreements with two online trading platforms that were alleged to have contravened Ontario securities laws...
Borden Ladner Gervais LLP
Investors, particularly institutional investors, are increasingly paying closer attention to the financial implications of climate risks on their portfolio firms. Large investors are using multiple
Siskinds LLP
In Cappelli v Nobilis Health Corp. ("Cappelli"), Justice Perell, for purposes of a leave motion under Part XXIII.
Stikeman Elliott LLP
On August 8, the Ontario Securities Commission (OSC) Compliance and Registrant Regulation Branch (CRR) published a Summary Report for Dealers,...
Stikeman Elliott LLP
Proposed amendments to the business acquisition report (BAR) requirements would implement a two-trigger test with an increased significance threshold ...
Stikeman Elliott LLP
The Canadian Securities Administrators (CSA) recently published guidance for registered firms as to when they are required to engage a compliance consultant
Wildeboer Dellelce LLP
On September 5, 2019, the Canadian Securities Administrators (CSA) published for comment proposed amendments to National Instrument 51-102 Continuous Disclosure Obligations
DLA Piper
On September 12, 2019 the Canadian Securities Administrators ("CSA") published a Notice and Request for Comment on their efforts to Reduce Regulatory Burdens for Investment Fund Issuers
McMillan LLP
You Can't Always Get What You Want…But, Sometimes, You Get What You Need - OSC Decision Removes the "Hype" Surrounding Rehypothecation
Fasken
On September 12, 2019, the CSA published a Notice of Consultation: Reducing Regulatory Burden for Investment Fund Issuers - Phase 2, Stage 1, for a 90-day comment period, which proposes draft amendments aimed at ...
Stikeman Elliott LLP
Les Autorités canadiennes en valeurs mobilières (ACVM) ont récemment publié des indications à l'intention des sociétés inscrites sur le moment où elles doivent retenir les services d'un consultant en conformité
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Stikeman Elliott LLP
Les Autorités canadiennes en valeurs mobilières (ACVM) souhaitent alléger l'obligation de déclarer une acquisition d'entreprise imposée aux émetteurs assujettis
Stikeman Elliott LLP
Les Autorités canadiennes en valeurs mobilières (ACVM) ont récemment publié des indications à l'intention des sociétés inscrites sur le moment où elles doivent retenir les services d'un consultant en conformité
Norton Rose Fulbright Canada LLP
Canada is the only G20 country without a national securities regulator.
DLA Piper
Environmental, Social and Governance, or "ESG" refers to three central factors in measuring the sustainability and ethical impact of investments
McCarthy Tétrault LLP
On June 25, 2019, the Global Financial Innovation Network ("GFiN") published a report reflecting on its activity over the past year entitled "GFiN - One Year On".
McKercher LLP
In the past decade, we have seen the creation and massive expansion of what is commonly referred to as "cryptocurrency".
Borden Ladner Gervais LLP
Investors, particularly institutional investors, are increasingly paying closer attention to the financial implications of climate risks on their portfolio firms. Large investors are using multiple
McCarthy Tétrault LLP
Late last week, the NYAG filed a law suit in the Supreme Court of the State of New York against Exxon alleging that Exxon violated, among other things, the securities fraud provisions of a 1921 New York statute...
Stikeman Elliott LLP
The Canadian Securities Administrators (CSA) recently published guidance for registered firms as to when they are required to engage a compliance consultant
Siskinds LLP
In Cappelli v Nobilis Health Corp. ("Cappelli"), Justice Perell, for purposes of a leave motion under Part XXIII.
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