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Update On CSA Consultation Paper 25-401: Potential Regulation Of Proxy Advisory Firms
As we discussed in a previous bulletin, on June 21, 2012, the Canadian Securities Administrators published Consultation Paper 25-401: Potential Regulation of Proxy Advisory Firms (the "Consultation Paper") to provide a forum for discussion of certain concerns raised about the services provided by proxy advisory firms and their potential impact on Canadian capital markets and to determine if, and how, these concerns should be addressed by the CSA.
Canada
14 Oct 2013
2
OSC Identifies Major Concerns in Mining Technical Report Disclosure
On June 27, 2013, the OSC issued Staff Notice 43-705 Report on Staff’s Review of Technical Reports by Ontario Mining Issuers summarizing the results of a review conducted on technical reports prepared by Ontario mining issuers.
Canada
29 Aug 2013
3
The Ontario Securities Commission (OSC) Recently Issued OSC Staff Notice 51-721 – Forward-Looking Information Disclosure
The Ontario Securities Commission (OSC) issued OSC Staff Notice 51-721 – Forward-Looking Information Disclosure (the Notice) which deals with the disclosure of forward-looking information (FLI). The Notice summarizes the results of OSC staff review of FLI contained in continuous disclosure documents of reporting issuers in Ontario.
Canada
28 Aug 2013
4
OSC Releases Consultation Paper Regarding Disclosure Of Gender Diversity Practices
On July 30, 2013, the Ontario Securities Commission (OSC) released Staff Consultation Paper 58-401 Disclosure Requirements regarding Women on Boards and in Senior Management.
Canada
23 Aug 2013
5
SC Staff Notice 33-741 – Report On The Results Of The Reviews Of Capital Markets Participation Fees
The Form 13-502F4 Capital Markets Participation Fee Calculation (F4) must be filed on December 1 each year by all registered firms, unregistered investment fund managers, and firms operating under the exemptions available in sections 8.18 and 8.26 of NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations.
Canada
22 Aug 2013
6
TSX Venture Exchange - Lapsing Of Temporary Relief Measures, Changes To Minimum Pricing Rules And Amendments To Shareholder Approval Requirement For Share Consolidations
On August 17, 2012 the TSX Venture Exchange (TSXV) published a bulletin entitled Private Placements – Temporary Relief from Certain Pricing Requirements, which provided, on a temporary basis and subject to compliance with the bulletin, the granting of relief to TSXV issuers from certain existing pricing requirements related to private placement financings
Canada
21 Aug 2013
7
Amendments To Prospectus Rules
On February 28, 2013, the Canadian Securities Administrators published amendments to National Instruments 41-101, 44-101, 44-102 and 81-101.
Canada
15 May 2013
8
Going Public In Canada
Global financial assets have grown in 2012 to over $225 trillion, but growth has slowed since 2007.
Canada
25 Apr 2013
9
Proposal For Enhanced Early Warning System
On March 14, 2013, the Canadian Securities Administration (CSA) issued for comment new proposed rules enhancing the reporting requirements relating to the early warning reporting system.
Canada
11 Apr 2013
11
TSX Proposes Mandated Majority Voting For Director Elections Concurrently Upon Announcing Approval For Related Amendments For Director Elections
On September 9, 2011, the Toronto Stock Exchange published for public comment proposed amendments to Part IV of the TSX Company Manual.
Canada
17 Oct 2012
12
CSA Issues Staff Notice 41-307 On The Concerns Regarding An Issuer’s Financial Condition And The Sufficiency Of Proceeds From A Prospectus Offering
Issuers must include sufficient disclosure in a preliminary prospectus with respect to their financial condition, particularly with respect to the use and sufficiency of proceeds from an offering.
Canada
9 Oct 2012
13
Securities Commissions State Their Views On Preliminary Economic Assessments And Qualified Persons
On August 16, 2012, the Canadian Securities Administrators (CSA) published two staff notices pertaining to National Instrument 43-101 – Standards of Disclosure for Mineral Projects (NI 43-101), namely CSA Staff Notice 43-307 Mining Technical Reports – Preliminary Economic Assessments and CSA Staff Notice 43-308 Professional Associations under NI 43-101 Standards of Disclosure for Mineral Projects.
Canada
28 Aug 2012
14
CSA Consultation Paper 25-401 – Potential Regulation Of Proxy Advisory Firms
On June 21, 2012, the Canadian Securities Administrators (the "CSA") published Consultation Paper 25-401:
Canada
19 Jul 2012
15
CSA Amend Certain Provisions of National Instrument 24-101 Institutional Trade Matching and Settlement and Companion Policy 24-101
The Canadian Securities Administrators (CSA) have made amendments to National Instrument 24-101 Institutional Trade Matching and Settlement and Companion Policy 24-101CP Institutional Trade Matching and Settlement (together, NI 24-101) which are expected to come into force on July 1, 2010.
Canada
5 May 2010
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