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Searching Content indexed under Securities by Stephen Robertson ordered by Published Date Descending.
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Fixing The Securities Industry Plumbing — The CSA Announce Plans For A New Issuer Electronic Filing System To Be Operational By 2021
The CSA recently announced their progress in developing a new integrated national information and filing system, which would replace existing electronic filing systems, including the SEDAR, the SEDI, the NRD and...
Canada
21 Jun 2019
2
Canadian Securities Regulators Permit Retail Liquid Alt Funds And Ease (Some) Investment Restrictions For All Public Funds
Overall, the amendments are a breath of fresh air in a regulatory environment that has become increasingly restrictive.
Canada
6 Dec 2018
3
Parliament Looks To Enhance Shareholder Democracy And Gender Diversity Disclosure
On September 28, 2016, the Canadian parliament tabled Bill C-25 ("Bill") for first reading which proposes amendments to the Canada Business Corporations Act ("CBCA"). Of particular interest to reporting issuers incorporated under the CBCA are amendments requiring: (1) changes to voting on the election of directors; and (2) the disclosure of gender diversity among its directors and senior managers.
Canada
19 Oct 2016
4
Five Provinces Confirm Investment Dealer Exemption Is Suitable
Currently, participation in private placements is generally limited to certain insiders or close friends or other individuals related to insiders, as well as to accredited investors.
Canada
19 Jan 2016
5
Canadian Securities Regulators Publish Crowdfunding Exemption
The final form of the Crowdfunding Exemption comes as a result of consultations following the proposed MI 45-108 published on March 20, 2014.
Canada
17 Nov 2015
6
Start Me Up! A New Equity Crowdfunding Exemption Adopted
Both of the Prospectus Exemption and the Registration Exemption are effective immediately, and are currently scheduled to expire on May 13, 2020.
Canada
21 May 2015
7
Is This Exemption Suitable? Proposed Suitability Prospectus Exemption
Currently, participation in private placements is generally limited to certain insiders or close friends or other individuals related to insiders, as well as accredited investors (who are sophisticated and wealthy investors).
Canada
28 Apr 2015
8
Adventures In Venture Land
The Canadian Securities Administrators will be implementing amendments to current disclosure and governance obligations for venture issues substantially in line with their last published proposals in 2014.
Canada
24 Apr 2015
9
Prospectus Exemption For Offerings To Existing Security Holders Now Available Across Canada
It’s now unanimous: effective February 11, 2015, the Ontario Securities Commission ("OSC") will adopt a new capital raising prospectus exemption1 (the "Exemption") for issuers listed on the Toronto Stock Exchange.
Canada
16 Feb 2015
10
Prospectus Exemption For Offerings To Existing Security Holders Now Available Across Canada
A comparable exemption was adopted in all other provinces and territories in March 2014.
Canada
11 Feb 2015
11
TSX Proposes New Listing Requirements For Investment Funds And Structured Products
On January 15, 2015, the Toronto Stock Exchange published for comment proposed amendments to the TSX Company Manual that introduce a tailored set of rules for exchange traded products.
Canada
23 Jan 2015
12
Second Time’s The Charm?
The CSA is also proposing to eliminate the requirement that BARs filed by venture issuers must include pro forma financial statements.
Canada
22 Jul 2014
13
Increased Reporting Obligations And New Prospectus Exemptions Proposed
Members of the CSA have proposed further changes to the regulation of the exempt market, including significantly increased reporting obligations.
Canada
4 Apr 2014
14
New "Existing Securityholder" Prospectus Exemption Enacted
Effective March 13, 2014, the securities regulators in each jurisdiction of Canada (other than Ontario and Newfoundland) enacted a new capital raising prospectus exemption.
Canada
18 Mar 2014
15
Setting A Strong Foundation: IIROC Publishes New Guidance For Underwriter Due Diligence
The IIROC believes that its Dealer Members play an important role as one of the gatekeepers to the Canadian capital markets.
Canada
13 Mar 2014
16
Being Upfront On Backdoor Listings
The Toronto Stock Exchange is proposing to clarify the rules on backdoor listings involving TSX-listed issuers.
Canada
3 Dec 2013
17
New "Existing Securityholder" Prospectus Exemption For TSXV-Listed Issuers
On November 21, 2013, the securities regulators in each jurisdiction of Canada other than Ontario and Newfoundland (the "Participating Regulators") published Multilateral CSA Notice 45-312 for comment.
Canada
26 Nov 2013
18
2013 Disclosure Update
Each year we are asked what has changed to the continuous disclosure requirements for Canadian public companies.
Canada
23 Jan 2013
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