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ARTICLE · 06 DECEMBER 2011

CSA Propose Amendments To Marketing Rules In Connection With Prospectus Offerings

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On November 25, 2011, the Canadian Securities Administrators (CSA) issued a notice and request for comment regarding proposed amendments intended to increase the range of permissible pre-marketing and marketing activities that can be conducted in connection with prospectus offerings.

CanadaStrategy
Robert Mason
Robert Mason
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On November 25, 2011, the Canadian Securities Administrators (CSA) issued a notice and request for comment regarding proposed amendments intended to increase the range of permissible pre-marketing and marketing activities that can be conducted in connection with prospectus offerings. In particular, the amendments will, subject to certain conditions:

  • expressly allow non-reporting issuers, through an investment dealer, to determine interest in a potential initial public offering (IPO) by communicating with permitted institutional investors, and
  • expressly allow investment dealers to use term sheets and conduct road shows during the "waiting period" and following the receipt of a final prospectus.

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