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The Investment Industry Regulatory Organization of Canada today republished revised proposed rules to consolidate certain enforcement and related rules found in the UMIR and Dealer Member Rules.

IIROC announced earlier this week that, effective immediately, it will no longer intervene to vary or cancel odd lot trades that execute at unreasonable prices.

This week, Louis Morisset, the President and CEO of Quebec's Autorité des marchés financiers announced that they "have made suppressing illegal insider trading and market manipulation a top priority".

The Alberta Court of Appeal referred an insider trading sanctions of $1.75m in administrative penalties back to the Alberta Securities Commission ("ASC") because it saw no clear basis for the penalty that did not apparently consider the individual's financial difficulties.

This case affirms that a hunch or suspicion held by an insider does not rise to the level of "material" information upon which one is precluded from trading.

Effective September 10, 2015, the TSX Company Manual was amended to expand exemptions available for interlisted issuers from TSX Company Manual requirements relating to acquisitions, financings and corporate governance.

Last week, Institutional Shareholder Services released updates to its Canadian benchmark corporate governance policy effective for meetings on or after February 1, 2014.

On October 26, 2020, Kraken Robotics Inc. (TSXV: PNG) (OTCQB: KRKNF) announced that it had closed its previously announced "bought deal" short form prospectus offering of common shares of...

"Due diligence out" is a phrase that describes a condition precedent which allows a party to not complete a transaction if its due diligence review has not been completed with satisfactory results before the closing date of the transaction.

Every year, reporting issuers are faced with the task of tailoring the disclosure for their annual general meeting ("AGM") to ever-evolving securities laws, updates to stock exchanges rules ...

Every year, reporting issuers are faced with the task of tailoring the disclosure for their annual meeting to an ever-evolving list of changes in securities laws, updates to stock exchanges rules, new guidance...

Every year, reporting issuers are faced with the task of tailoring the disclosure for their annual general meeting ("AGM") to an ever-evolving list of changes in corporate and securities laws,...

The Mutual Fund Dealers Association of Canada (MFDA) released its 2016 enforcement report.

The Ontario Securities Commission has approved amendments to the Mutual Fund Dealers Association of Canada's Rule 2.2.1 and Policy No. 2 regarding suitability obligations in cases of leveraged borrowing.

Earlier this year, the Mutual Fund Dealers Association of Canada announced the establishment of a whistleblower program.

The MFDA recently released proposed amendments to its rules aimed at harmonizing these with enhanced CSA client reporting requirements adopted last year.

The Ministers also announced the CMRA's initial board of directors.