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Searching Content indexed under Securities by Norton Rose Fulbright Canada LLP ordered by Published Date Descending.
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1
ESMA Final Guidance On Liquidity Stress Test Guidance For Investment Funds
On September 2019, the European Securities and Markets Authority (ESMA) published its final guidance regarding liquidity stress testing of investment funds
UK
4 Sep 2019
2
The Anatomy Of An Alternative Mutual Fund: Dissecting The Alternative Investment Vehicle Following Recent CSA Amendments
Traditionally, commodity pools existed as unique investment vehicles which, contrary to other Canadian public investment funds
Canada
16 Aug 2019
3
Alberta Court Of Appeal Considers An Investment Scheme
Charles Ryan promoted a plan to develop land through various corporate vehicles.
Canada
29 Jul 2019
4
Alberta Securities Commission Signs Enhanced Memorandum Of Understanding To Strengthen Cross-Border Enforcement Cooperation
In July 2019, the ASC joined other signatories, including the Ontario Securities Commission and the United States Securities and Exchange Commission, by signing the IOSCO's EMMoU.
Canada
29 Jul 2019
5
Ontario Securities Commission v York Rio Resources Inc.: Enforcing OSC Orders As Court Judgments Outside Of Ontario
On May 21, 2019, in Ontario Securities Commission v York Rio Resources Inc., 2019 BCSC 776, the British Columbia Supreme Court enforced Ontario Securities Commission disgorgement orders as court judgments from another province.
Canada
29 Jul 2019
6
New CBCA Diversity Disclosure Requirements Confirmed
Diversity in the boardroom and in senior management.
Canada
25 Jul 2019
7
Sino-Forest Cont'd: Cultural Practices Do Not Excuse Illegal Acts
The Divisional Court found this conclusion to be reasonable.
Canada
15 Jul 2019
8
The Test On A Motion To Strike Pleadings In Proceedings Before The Ontario Securities Commission
Relevance and admissibility are considerations for the panel hearing the evidence on the [jurisdictional] motion.
Canada
1 Jul 2019
9
How Should Canada Regulate Digital Asset Exchanges?
Although the Bitcoin craze has recently fallen by the wayside, parties interested in digital and crypto-assets continue to press forward despite unclear regulations.
Canada
25 Jun 2019
10
Request To Stay A Securities Regulatory Sanctions Hearing: An Uphill Battle
In Re Mountainstar Gold Inc., 2019 BCSECCOM 123, the British Columbia Securities Commission gave short shrift to a request by the respondents...
Canada
19 Jun 2019
11
The AMF Is Not The Sole Arbiter Of What Is Relevant And What Should Be Disclosed
In AMF v. TMF, Baazov, et al. (Court File No. 500-11-052989-171), the Quebec Superior Court confirmed that the Financial Markets Administrative Tribunal has the power to order the Autorité des marchés financiers, ...
Canada
18 Jun 2019
12
Large And Generous Interpretation Of "Investment Contract" And "Distribution" Under The Quebec Securities Act: AMF v. Desmarais, 2019 QCCA 898
In its recent decision (AMF v. Desmarais), the Court of Appeal upheld the conviction of a Montreal lawyer who played a central role in the distribution of investment contracts without a prospectus and who acted as a dealer ...
Canada
13 Jun 2019
13
Imposition Of OSC Sanctions Following A Conviction For An Offence Relating To Securities: The Availability Of Carve-Outs In The Public Interest
In Theroux (Re), 2019 ONSEC 20 a hearing panel of the OSC was called upon to decide whether an individual convicted of five counts of fraud over $5,000 contrary to section 380(1)(a) of the Criminal Code ...
Canada
12 Jun 2019
14
Harrington v IIROC: No Equitable Duty Owed By Public Sector Regulators To Disclose Information To Victims Of Wrongdoing
On December 31, 2018, the Ontario Superior Court of Justice dismissed an application by Harrington Global Opportunities Fund for a Norwich order against the Investment Industry Regulatory Organization of Canada.
Canada
10 Jun 2019
15
MFDA Annual Enforcement Report: Trends In Mutual Fund Dealer Regulation
Further, the MFDA Hearing Panels imposed over $6M in fines, down from $8.5M in 2017 and $21.1M in 2016.
Canada
10 Jun 2019
16
OSC Announces Two-Year Moratorium On Fees For Delayed Outside Business Activities Filings As Part Of Burden Reduction Project
The Ontario Securities Commission (OSC) recently announced it is implementing a two-year moratorium on late fees for delayed disclosure by registrants of outside business activities (OBAs).
Canada
30 May 2019
17
Not Ready Yet: OSC Rejects Bitcoin Fund Prospectus
OSC staff submitted that it was simply too early for bitcoin to be considered an appropriate asset for an investment fund available to the public.
Canada
25 Apr 2019
18
Share Buybacks & Executive Compensation: Aligning Management's Incentives
The debate concerning share buybacks is complex and politically charged
Canada
25 Apr 2019
19
Alberta Securities Commission Declines To Stay Enforcement Proceedings In Face Of Parallel Class Actions
In February 2019, the Alberta Securities Commission (ASC) declined to stay the hearing of pending ASC enforcement proceedings on the basis of the existence of parallel, pending class action proceedings.
Canada
12 Apr 2019
20
Ontario Securities Commission Awards Whistleblowers $7.5 Million In First Ever Payout
Nonetheless, the Program is a step in the right direction for the OSC to attract credible tips.
Canada
21 Mar 2019
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