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Searching Content indexed under Securities by Borden Ladner Gervais LLP ordered by Published Date Descending.
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1
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
Can A Finding Of A Breach Of Securities Law By A Securities Commission Be The Basis For Professional Disciplinary Proceedings?
In 2004 and 2005, Dale Smith, CPA, was involved in a complex investment structure (the "Norshield Investment Structure") which was presented to investors as giving them access to hedge fund
Canada
30 May 2019
3
Guide To Going Public In Canada
Listing your company's securities on a Canadian stock exchange provides access to significant capital pools and investors, both in Canada and abroad.
Canada
8 May 2019
4
Ontario Superior Court Approves Funding Agreement For Tim Hortons Franchisees
In JB & M Walker Ltd. v. TDL Group, Justice Morgan approved a litigation funding agreement between Galactic TH Litigation Funders LC ...
Canada
17 Apr 2019
5
Mergers And Acquisitions In Canada
Canada has an active and vibrant mergers and acquisitions market.
Canada
11 Apr 2019
6
Canada & U.S.: Progress On Cryptocurrency Securities Regulation
In the cryptocurrency space, the magic word is nuance. This March, both Canadian and the United States' securities regulators have displayed increasingly nuanced positions on digital tokens
Worldwide
9 Apr 2019
7
A Practical Guide To Handling Whistleblower Complaints For In-House Counsel
Last week, the Ontario Securities Commission (OSC) announced that it had awarded $7.5 million to three whistleblowers who provided tips that led to OSC enforcement actions.
Canada
13 Mar 2019
8
Several Common Employment Agreement Provisions Violate The Securities Act
In July 2016, the Ontario Securities Commission (OSC) launched its Whistleblower Program.
Canada
20 Feb 2019
9
Several Common Employment Agreement Provisions Could Violate The Securities Act
In July 2016, the Ontario Securities Commission (OSC) launched its Whistleblower Program — the first of its kind in Canada.
Canada
7 Feb 2019
10
OSC Seeks Input On Ways To Reduce Regulatory Burdens
The OSC explains that its regulatory burden reduction efforts are intended to support the Ontario government's Open for Business Action Plan.
Canada
28 Jan 2019
11
OSC Seeking Public Comment On Reducing Unnecessary Regulatory Burden
On January 14, 2019, the Ontario Securities Commission (OSC) announced a public consultation campaign aimed at identifying ways to reduce unnecessary regulatory burden in the province's securities rules.
Canada
21 Jan 2019
12
Recent OSC Settlement Highlights Importance Of Carefully Considering Foreign Corruption Risk
On December 18, 2018, the Ontario Securities Commission (OSC) approved a settlement with Katanga Mining Ltd. (Katanga) in relation to misleading disclosure.
Canada
3 Jan 2019
13
Supreme Court Will Not Hear Insider Trading Case
The Supreme Court of Canada has denied leave to appeal the Ontario Court of Appeal's decision in Finkelstein v. Ontario Securities Commission.
Canada
2 Jan 2019
14
Ontario Court Of Appeal To Hear Whether Certain Debt Instruments Should Be Exempt From The Securities Act
In a recent post, we examined the case of Ontario Securities Commission v. Tiffin in which the Ontario courts have been grappling with the question of whether a promissory note constitutes a "security" under the Securities Act.
Canada
13 Dec 2018
15
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
16
New Streamlined Report Of Exempt Distribution: January 30, 2019 Deadline For Funds
On October 5, 2018, amendments to National Instrument 45-106 Prospectus Exemptions (NI 45-106) and its Companion Policy (the Amendments) came into force
Canada
27 Nov 2018
17
ASC Introduces Anticipated Whistleblower Policy
Just over a year after implementing its "Credit for Exemplary Cooperation in Enforcement Matters" Policy, the Alberta Securities Commission has introduced its anticipated Whistleblower Policy...
Canada
26 Nov 2018
18
When Is A Promissory Note A Security And Not A Loan?
Tiffin Financial Corporation ("TFC") and its principal Daniel Emerson Tiffin ("Tiffin"), were subject to a cease-trade order (the "Order") issued by the Ontario Securities Commission (the "OSC") in relation to a foreign exchange investment scheme.
Canada
26 Nov 2018
19
MFDA Releases Revised Sanction Guidelines
It is a shift from the MFDA's historical approach to sanctioning – they previously outlined specific fines and penalties for various offences.
Canada
22 Nov 2018
20
Supreme Court Decision Clears Pathway For A Pan-Canadian Securities Regulator
In its November 9, 2018 decision Reference re Pan-Canadian Securities Regulation, the Supreme Court of Canada unanimously upheld the constitutionality of a national co-operative system for the regulation of capital markets ...
Canada
21 Nov 2018
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