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Earlier this week, the Globe and Mail published its annual report on corporate governance among Canadian issuers.

IIROC recently announced that it is adopting a new rule to clarify that approved persons and dealers are generally prohibited from engaging in personal financial dealings with clients.

IIROC guidance highlights limitations on limitation of liability clauses in retail client account agreements.

On March 27, 2013 the Canadian Securities Administrators published for comment proposed amendments to National Instrument 81-102 – Mutual Funds, proposed changes to Companion Policy 81-102CP, and related consequential amendments, as part of the CSA’s Modernization of Investment Fund Product Regulation Project.

In addition to Justice Martineau's denial of injunctive relief and dismissal of the request for summary judgment in Hillis and Deegan v. The Attorney General of Canada, as discussed in our previous post

The OM Exemption is expected to come into force in Ontario on January 13, 2016 and the amendments in the other provinces are expected to come into force on April 30, 2016.

Cassels Brock & Blackwell LLP represented Aberdeen and certain of its directors and officers in this matter.

The Ontario Securities Commission (OSC) recently made an Order to exempt reporting issuers that fall under the definition of "federal financial institution" under the Bank Act...

Last week, the Ontario Securities Commission (OSC) announced that after reviewing the impact of COVID-19 and in light of market conditions generally, it is maintaining participation and activity fees at current levels.

The OSC yesterday published guidance intended to assist small mining issuers in complying with MD&A requirements.

On July 14, 2016, the Ontario Securities Commission (the "OSC") launched its new whistleblower program. The Program is set out in OSC Policy 15-601.

The Ontario Securities Commission yesterday released its statement of priorities for the fiscal year ending March 31, 2014.

On December 8, 2021, Roshni Capital Inc. (TSXV: ROSH.P) announced that it had completed its initial public offering of common shares for aggregate gross proceeds of $500,000 pursuant...

The U.S. SEC recently adopted final rules that are intended to modernize how companies can raise money to fund their businesses through intrastate (Rules 147 and 147A) and small offerings (Rule 504)...

On February 13, 2020, the CSA published a second notice and request for comments on a revised version of the proposed NI 52-112 – Non-GAAP and other Financial Measures rule and its companion policy.

At the American Securitization Forum annual conference last month, a panel discussed the future of U.S. mortgage finance.

Significant implementation delays announced for client focused reforms and IIROC plain language rules April 17, 2020 In a series of announcements this week, the CSA, IIROC and the MFDA delayed the implementation of certain significant regulatory initiatives.

The securities regulatory model is founded on the principle of disclosure – the more information an investor receives, the better equipped she will be in making investment decisions – or so the conventional thinking goes.