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Staff of the Ontario Securities Commission today released a notice setting out their views on the application of prospectus requirements and product regulation in connection with cross-listings by foreign exchange-traded mutual funds.

On March 15, the U.S. Court of Appeals for the Second Circuit issued a stay of proceedings in a case brought against Citigroup Global Markets Inc. by the Securities and Exchange Commission.

The U.S. SEC announced yesterday that it had concluded that investors with brokerage accounts at the Stanford Group Company who purchased certificates of deposit through the broker-dealer were entitled to protected "customer" status under the Securities Investor Protection Act of 1970.

The U.S. SEC released a proposal this week directing national securities exchanges to require compliance with new independence requirements for compensation committees.

As we discussed in December 2009, the Saskatchewan Financial Services Commission, Securities Division issued General Order 91-907 in November of that year exempting over-the-counter (OTC) derivatives trading among qualified parties from the registration and prospectus requirements under the Saskatchewan Securities Act, 1988.

As we discussed on our Structured Finance blog in December 2009, the Saskatchewan Financial Services Commission, Securities Division issued General Order 91-907 in November of that year exempting over-the-counter (OTC) derivatives trading among qualified parties from the registration and prospectus requirements under the Saskatchewan Securities Act, 1988.

Partner Michael Feldman has authored an article for the C.D. Howe Institute titled "The Case for Longer Mortgages: Addressing the Mismatch Between Term and Amortization" which explores...

Staff of the Canadian Securities Administrators in Alberta, Ontario, Quebec, Nova Scotia, New Brunswick and the Northwest Territories published a notice yesterday setting out their concerns regarding the use of advertising that may attempt to promote an issuer's securities.

In a noteworthy development, separate statements of claim have recently been filed by Marvin Neil Silver and Cliff Cohen, both would-be plaintiffs in a proposed class action against Imax Corporation and certain directors and officers of the company.

This high-level presentation covers general principles for designing a solid security package, many standard security documents, and some common complexities that characterize lending deals.

On May 2, the Investment Industry Regulatory Organization of Canada (IIROC) announced that it was making changes to Complaints and Settlement Reporting (ComSet) reporting requirements.

The Investment Industry Regulatory Organization of Canada (IIROC) released a proposal for single-stock circuit breakers last week that would halt trading of a security experiencing "rapid, significant and unexpected price movement."

On October 22, the Investment Industry Regulatory Organization of Canada released its Annual Consolidated Compliance Report, which discusses the deficiencies found by IIROC compliance teams during field examinations of member firms.

The Investment Industry Regulatory Organization of Canada today republished a proposal to implement core aspects of its Client Relationship Model Project. IIROC's proposal would address issues relating to relationship disclosure, conflicts of interest management and disclosure, suitability assessment and account performance reporting.

A memorandum of understanding between the OSC, certain other provincial securities regulators and Investment Industry Regulatory Organization of Canada (IIROC) entered into with the Mutual Fund Dealers Association of Canada (MFDA) is set to come into effect on March 23, 2011.

The Ontario government has announced that, effective immediately, Global Adjustment (GA) charges will be frozen for two years for companies participating in the Industrial Conservation Initiative (ICI).

As most issuers begin the annual process of preparing their meeting materials, they should take into account the just released CSA staff guidance on corporate governance disclosure.