On August 25, 2015, the participating provinces and territory in the Cooperative Capital Markets Regulatory System achieved an important milestone towards implementation of the system by publishing a revised consultation draft of the uniform provincial and territorial capital markets act (now known as the Capital Markets Act), along with the drafts of the initial regulations proposed for adoption by the participating provinces and territory under the draft uniform act. These materials have been published for a 120-day public comment period.
We are pleased to present our Guide to the Proposed Initial Regulations. For information regarding the proposed initial regulations in the following areas (with particular focus on regulatory changes in British Columbia and Ontario), please click on the links below:
1. Backgrounder on the Cooperative Capital Markets Regulatory System
2. Top 5 Things You Need to Know About the Proposed Initial Regulations
3. Registration Requirements and Exemptions
4. Prospectus Requirements and Exemptions
5. Disclosure by Issuers and Insiders and on Proxies
- Issuers Quoted in the U.S. Over-the-Counter Markets
- Issuers Listed or Quoted on Certain Market Places
6. Take-Over Bids and Special Transactions
7. Securities Transactions Outside the System
- Distributions Outside the System
- Registration and Prospectus Exemptions for Distributions Outside the System
- Underwriter Prospectus Certificate Exemptions
The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.
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