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The TSX last week published proposed amendments to its Company Manual and to the TSX Rules to clarify matters related to appeals of listing-related decisions, and to ensure consistency between the Manual and the Rules with respect to appeals.

Last week, Brett York, an attorney adviser in the Treasury Office of International Tax Counsel confirmed that the U.S. Treasury is willing to accept Canada's recent guidance.

The Ontario government asked this question in its May 2013 budget, and requested the Ontario Securities Commission to look into it.

Last week, the Alberta Securities Commission proposed amendments to various national instruments.

Earlier this month, CIRO released an Amendment regarding individual Approved Person proficiencies. The purpose of the amendment is to eliminate a conflict between National Instrument 31-103...

Our Legal Year in Review includes a selection of 18 significant and interesting developments in Canadian securities and capital markets landscape in 2023.

A friendly reminder to registrants of obligations under National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (NI 31-103) to file a written notice...

On November 30, 2020, Firm Capital Mortgage Investment Corporation (TSX: FC) announced that it had closed its previously announced bought deal public offering of common shares.

The Investment Industry Regulatory Organization of Canada today issued final guidance regarding the management of stop loss orders in light of dealers' obligations under the new UMIR electronic trading rule amendments effective March 1, 2013.

The released proposed amendments from the Investment Industry Regulatory Organization of Canada to its Dealer Member Rules that would result in the repeal of Dealer Member Rule 3400, Requirement 15 in its entirety and replace it with a requirement that would permit Dealer Members to include in paper based research reports covering more than six issuers, directions as to where the Rule 3400 Disclosures may be found.

The Investment Industry Regulatory Organization of Canada (IIROC) recently announced the withdrawal of proposed amendments to its Dealer Member Rules ...

A friendly reminder to registrants of the requirement under Part 12 of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations...

Le Nouveau-Brunswick adhère au protocole d'entente canadien sur la surveillance des bourses

If you haven't yet turned your mind to your annual exempt trade reports for investment fund issuers, now is the time. As noted in last month's bulletin...

The Investment Funds and Structured Products Branch of the Ontario Securities Commission today released the April 2015 issue of The Investment Funds Practitioner...

In an interview in which he was asked for his thoughts about financial and professional sanctions imposed by the Ontario Securities Commission in a recent illegal insider trading case, securities litigator Bill Pepall noted that it demonstrates how seriously regulators are taking insider trading cases, even when only small amounts of money are involved.

Last week, the Supreme Court of Canada dismissed the plaintiff’s application for leave to appeal in Kaynes v. BP, PLC.