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  • Article

    IIROC Proposes Two-Test Approach To Free Credit Cash Usage

    IIROC yesterday released proposed amendments to its Dealer Member Rules intended to ensure the safeguarding of, and timely client access to, client assets.
    CanadaCorporate/Commercial Law
    Stikeman Elliott LLP
    Stikeman Elliott LLP
  • Article

    IIROC Publishes Draft Guidance For Dealers Regarding Leveraged Investing

    Earlier this week, the Investment Industry Regulatory Organization of Canada released draft guidance regarding the responsibilities of dealers and representatives that advise clients to use borrowed money to invest or who become aware that a client intends to make such leveraged investments.
    CanadaCorporate/Commercial Law
    Stikeman Elliott LLP
    Stikeman Elliott LLP
Article

IIROC Releases Concept Paper On Portfolio Margining

The Investment Industry Regulatory Organization of Canada (IIROC) released a concept paper this week to solicit comments to assist staff in its review and assessment of whether portfolio-based margining could provide a feasible alternative to current margin requirements.
CanadaCorporate/Commercial Law
Stikeman Elliott LLP
Stikeman Elliott LLP
  • Article

    IIROC Releases Draft Guidance On Deceptive Trading Practices

    Earlier this week, the Investment Industry Regulatory Organization of Canada released proposed guidance in which it confirms that certain trading strategies, including "layering", "quote stuffing" and "spoofing" are considered to be manipulative and deceptive trading practices under UMIR.
    CanadaCorporate/Commercial Law
    Stikeman Elliott LLP
    Stikeman Elliott LLP
  • Article

    IIROC Releases Draft Sanction Guidelines

    The Investment Industry Regulatory Organization of Canada (IIROC) yesterday published for comment updated draft sanction guidelines that set out the principles and factors regarding the imposition of sanctions that may be considered in IIROC disciplinary proceedings.
    CanadaCorporate/Commercial Law
    Stikeman Elliott LLP
    Stikeman Elliott LLP
  • Article

    IIROC Releases Guidance On Marketplace And Average Price Disclosure

    The Investment Industry Regulatory Organization of Canada yesterday published guidance on marketplace and average price disclosure language that will be considered acceptable on trade confirmations.
    CanadaCorporate/Commercial Law
    Stikeman Elliott LLP
    Stikeman Elliott LLP
  • Article

    IIROC Releases Proposed Guidance Re: Deceptive Trading Practices

    In late July, the Investment Industry Regulatory Organization of Canada ("IIROC") issued a proposed guidance ("Guidance") in respect of certain trading practices deemed to be deceptive.
    CanadaCorporate/Commercial Law
    Dentons Canada LLP
    Dentons Canada LLP
  • Article

    IIROC To Update Guidance On Marketplace Disclosure For Trade Confirmations

    On July 27, the Investment Industry Regulatory Organization of Canada (IIROC) released proposed guidance respecting the marketplace disclosure language it would deem acceptable for trade confirmations.
    CanadaCorporate/Commercial Law
    Stikeman Elliott LLP
    Stikeman Elliott LLP
  • Article

    IIROC Withdraws Position Regarding Clearing Arrangements

    On January 13, IIROC issued final guidance confirming that it is withdrawing its position that clearing arrangements are a type of introducing broker / carrying broker arrangement to which IIROC Dealer Rule 35 applies.
    CanadaCorporate/Commercial Law
    Stikeman Elliott LLP
    Stikeman Elliott LLP
  • Article

    Important Reminder: Guidance Regarding Disruption Of Mail Services

    At the time of this publication, there is an ongoing postal strike across Canada. Various regulators have issued statements or other guidance, reminding market participants...
    CanadaCorporate/Commercial Law
    Borden Ladner Gervais LLP
    Borden Ladner Gervais LLP
  • Article

    Important Reminders: SEDAR+ Will Be Here June 13 – Adding To The Family

    All issuers that currently file on SEDAR will have to undertake a number of steps to ensure access to the new SEDAR+ system, which the securities regulators refer to as "onboarding."
    CanadaCorporate/Commercial Law
    Borden Ladner Gervais LLP
    Borden Ladner Gervais LLP
  • Article

    In Focus: Building High-Performing Boards

    Building a high-performing board of directors has never been more important and more complex.
    CanadaCorporate/Commercial Law
    Davies Ward Phillips & Vineberg LLP
    Davies Ward Phillips & Vineberg LLP
  • Article

    Insider Trading Amendments Could Impose "Special Relationship" Where Take-Over "Considered"

    The Ontario government recently released its 2013 budget plan, which included discussion of amending the Securities Act to clarify the statute's insider trading provisions.
    CanadaCorporate/Commercial Law
    Stikeman Elliott LLP
    Stikeman Elliott LLP
  • Article

    International Investigations: Five Frightening Facts

    Wendy Berman and Jonathan Wansbrough were part of The Law Reviews' Expert Panel 2015 and their Canada chapter in The International Investigations Review has now been published.
    CanadaCorporate/Commercial Law
    Cassels
    Cassels
  • Article

    Introduction Of Civil Cause Of Action For Whistleblower Reprisal

    The Ontario Securities Commission's Whistleblower Program—launched in July 2016—encourages individuals and companies to report on suspected violations of Ontario securities laws to the Commission.
    CanadaCorporate/Commercial Law
    Torys
    Torys
  • Article

    Is It Hot In Here? CSA To Review Exchange-Traded Funds

    On August 10, the Canadian Securities Administrators (CSA) announced that it will be reviewing exchange-traded funds (ETFs) in Canada, noting that ETFs make up almost 15% of the assets invested...
    CanadaCorporate/Commercial Law
    Borden Ladner Gervais LLP
    Borden Ladner Gervais LLP
  • Article

    La CVMO signe l'accord multilatéral renforcé de l'OICV sur la coopération et l'échange d'information

    La Commission des valeurs mobilières de l'Ontario a signé en septembre dernier un accord multilatéral renforcé (Enhanced multilateral memorandum of understanding ...
    CanadaCorporate/Commercial Law
    Stikeman Elliott LLP
    Stikeman Elliott LLP
  • Article

    LIFE Limits Revisited: CSA Temporarily Increase Limits To "Listed Issuer" Prospectus Exemption

    On May 14, 2025, the Canadian Securities Administrators (the "CSA") announced a temporary increase to the limits prescribed by the "listed issuer financing exemption" in Part 5A of National Instrument 45-106 – Prospectus Exemptions.
    CanadaCorporate/Commercial Law
    Wildeboer Dellelce LLP
    Wildeboer Dellelce LLP
  • Article

    Lifted Innovations Completes RTO

    On September 8, 2020, Lifted Innovations Inc. ("Lifted") completed a going public transaction which resulted in a reverse takeover of Kootenay Zinc Corp. ("Kootenay").
    CanadaCorporate/Commercial Law
    Gowling WLG
    Gowling WLG
  • Article

    Logan Resources Closes Subscription Receipt Offering

    On April 30, 2019, Logan Resources Ltd. (TSXV: LGR) announced that it had completed a public offering of subscription receipts for gross proceeds of approximately $4 million.
    CanadaCorporate/Commercial Law
    Gowling WLG
    Gowling WLG
  • Showing 401–420 of 6398 results

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