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  • Article

    Alberta's Capital Markets In 2017: The ASC Perspective

    The Alberta Securities Commission recently released two major reports: its own Annual Report for 2017 and a report on the current state of the province's capital markets.
    CanadaCorporate/Commercial Law
    Stikeman Elliott LLP
    Stikeman Elliott LLP
  • Article

    Alberta Confirms It Will Not Join Cooperative Capital Markets Regulatory System

    On March 29, 2016, Alberta Finance Minister Joe Ceci formally announced that the Province of Alberta would not join British Columbia, Saskatchewan, Ontario, and other jurisdictions in the creation of a national securities regulator.
    CanadaCorporate/Commercial Law
    Bennett Jones LLP
    Bennett Jones LLP
Article

Appeal From A Finding Of Fraud And A Disgorgement Order Of Over $16 Million Dismissed

The appellants challenged the fraud finding, the misrepresentation finding and the disgorgement order.
CanadaCorporate/Commercial Law
Borden Ladner Gervais LLP
Borden Ladner Gervais LLP
  • Article

    ASC's 2024 Annual Report Scoop

    In its recently released annual report, the Alberta Securities Commission (ASC) discusses the completion of the first fiscal year under its new three-year strategic plan.
    CanadaCorporate/Commercial Law
    Borden Ladner Gervais LLP
    Borden Ladner Gervais LLP
  • Article

    ASC Introduces Anticipated Whistleblower Policy

    Just over a year after implementing its "Credit for Exemplary Cooperation in Enforcement Matters" Policy, the Alberta Securities Commission has introduced its anticipated Whistleblower Policy...
    CanadaCorporate/Commercial Law
    Borden Ladner Gervais LLP
    Borden Ladner Gervais LLP
  • Article

    ASC Proposes Prospectus Exemption For Distributions To Retail Investors Relying On Investment Advice

    The Alberta Securities Commission (ASC) has proposed a new prospectus exemption that would allow issuers listed on a Canadian exchange to distribute securities to investors who have obtained...
    CanadaCorporate/Commercial Law
    Stikeman Elliott LLP
    Stikeman Elliott LLP
  • Article

    Augusta/HudBay – B.C. Securities Commission Policy Remains Unchanged

    The BCSC issued reasons for its previous decision that allowed Augusta Resource Corporation to maintain its shareholder rights plan after a hostile bid was made.
    CanadaCorporate/Commercial Law
    McCarthy Tétrault
    McCarthy Tétrault
  • Article

    Aurinia Pharmaceuticals Inc. Completes US$191.7 Million Public Offering

    On December 12, 2019, Aurinia Pharmaceuticals Inc. (NASDAQ:AUPH) (TSX:AUP) (Aurinia or the Company) announced the closing of its previously announced underwritten ...
    CanadaCorporate/Commercial Law
    Borden Ladner Gervais LLP
    Borden Ladner Gervais LLP
  • Article

    Bank's Internships Violate Foreign Corrupt Practices Act

    The BNY Mellon situation is noteworthy for several reasons.
    CanadaCorporate/Commercial Law
    Torys
    Torys
  • Article

    B.C. Securities Commission Issues First Administrative Penalty Under New Regime

    On November 17, 2023, the B.C. Securities Commission (the BCSC) issued a $12,000 administrative penalty to Capstone Asset Management Inc. (Capstone) for alleged contraventions of sections 12.5(2) and 11.1(1) of NI 31-103.
    CanadaCorporate/Commercial Law
    Osler, Hoskin & Harcourt LLP
    Osler, Hoskin & Harcourt LLP
  • Article

    BCSC Grants Bitcoin Investment Fund Manager Registration

    Recently, the British Columbia Securities Commission (BCSC) announced (found here) the first registration of an investment fund manager in Canada dedicated solely to cryptocurrency investments.
    CanadaCorporate/Commercial Law
    Borden Ladner Gervais LLP
    Borden Ladner Gervais LLP
  • Article

    BIG DEAL: BuildDirect.com Closes $20M Private Placement, Reverse Take-over, And Lists On The TSX-V

    BuildDirect.com closes $20M private placement, reverse take-over, and lists on the TSX-V.
    CanadaCorporate/Commercial Law
    Minden Gross LLP
    Minden Gross LLP
  • Article

    British Columbia's Court Of Appeal Looks Past Unregistered Trading In Ordering Payment To Investment Finder

    Many junior resource companies depend on investment finders to help keep the lights on.
    CanadaCorporate/Commercial Law
    Dentons Canada LLP
    Dentons Canada LLP
  • Article

    British Columbia Blanket Ruling Liberalizes Regime For Private Placements Of Foreign Securities To British Columbia-Based Institutional Investors

    These exemptions continue to be available under the British Columbia Blanket Order.
    CanadaCorporate/Commercial Law
    McCarthy Tétrault
    McCarthy Tétrault
  • Article

    Can You Settle A Securities Enforcement Proceeding In Alberta Without Admitting Misconduct?

    The ASC announced that it had revised the Credit for Exemplary Cooperation in Enforcement Matters Policy to allow respondents to enter into no-contest settlement agreements in certain and limited circumstances.
    CanadaCorporate/Commercial Law
    Borden Ladner Gervais LLP
    Borden Ladner Gervais LLP
  • Article

    Canaccord Genuity Corp. v. Sammy, 2014 ONSC 3691

    An investment advisor’s liability for the re-payment of a transition loan is a simple matter of contract interpretation.
    CanadaCorporate/Commercial Law
    Borden Ladner Gervais LLP
    Borden Ladner Gervais LLP
  • Article

    Canada's First SPAC IPO

    Six years ago, the TSX adopted specific rules governing the listing of Special Purpose Acquisition Corporations in response to the growing popularity of these investment vehicles in the United States.
    CanadaCorporate/Commercial Law
    Davies Ward Phillips & Vineberg LLP
    Davies Ward Phillips & Vineberg LLP
  • Article

    Canada Post Strike: CSA Providing Temporary Relief From Proxy Material Delivery Requirements

    In response to the Canada Post strike, which began on November 15, 2024, the Canadian Securities Administrators (CSA) announced that it will grant temporary relief to issuers from proxy material...
    CanadaCorporate/Commercial Law
    Burnet, Duckworth & Palmer LLP
    Burnet, Duckworth & Palmer LLP
  • Article

    Canadian Blind Pools Heat Up The Market: SPACs, CPCs And G-Corps

    In a recent LinkedIn Live session, BLG's lawyers discussed options for U.S. investors and business leaders who are interested in investing or raising capital in Canada.
    CanadaCorporate/Commercial Law
    Borden Ladner Gervais LLP
    Borden Ladner Gervais LLP
  • Article

    Canadian Going Private Transactions: Considerations For Non-Corporate Entities

    Not all of the large publicly held businesses in Canada operate through the legal structure of a corporation.
    CanadaCorporate/Commercial Law
    McCarthy Tétrault
    McCarthy Tétrault
  • Showing 881–900 of 6399 results

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