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ARTICLE · 02 FEBRUARY 2015

Capital Markets Report - January 2015

Cassels
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On December 18, 2014, the Investment Industry Regulatory Organization of Canada issued a guidance note to its dealer members respecting underwriting due diligence in connection with public offerings.

CanadaCorporate/Commercial Law
Alexandra Iliopoulos
Alexandra Iliopoulos
Gregory Hogan
Gregory Hogan
Michael Brown
Michael Brown
Chad Accursi
Chad Accursi
Alexander Pizale
Alexander Pizale
Myroslav Chwaluk
Myroslav Chwaluk
Chad Aboud
Chad Aboud
Joyce Lim
Joyce Lim
Zohar Barzilai
Zohar Barzilai
+4 more
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Covering the period December 1-31, 2014

FROM THE REGULATORS

News and Notices

IIROC Releases Guidance Note on Underwriter Due Diligence

By: Michael Brown, Chad Accursi and Greg Hogan

On December 18, 2014, the Investment Industry Regulatory Organization of Canada ("IIROC") issued a guidance note to its dealer members ("Dealer Members") respecting underwriting due diligence in connection with public offerings. A draft of the guidance note had previously been published for comment in March, 2014.

The guidance note is intended to promote more consistent and enhanced underwriting due diligence standards and to assist Dealer Members to more effectively perform their role as gatekeepers to capital markets and to ensure the protection of the investing public. The guidance note sets out a number of key principles and guidance with respect to those principles, including: policies and procedures for underwriting due diligence, due diligence Q&A sessions, reliance on

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