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  • Article

    IIROC To Act As Information Processor For Corporate Debt Securities

    Effective July 4, 2016, the Investment Industry Regulatory Organization of Canada (IIROC) will act as an information processor for corporate debt securities under National Instrument 21-101 Marketplace Operation.
    CanadaCorporate/Commercial Law
    Stikeman Elliott LLP
    Stikeman Elliott LLP
  • Article

    Important Developments Toward Reform Of Canada’s Securities Regulatory Regime

    The goal of the CCMR is to eliminate the inefficiencies that are endemic to Canada's current system of 13 separate securities agencies.
    CanadaCorporate/Commercial Law
    Osler, Hoskin & Harcourt LLP
    Osler, Hoskin & Harcourt LLP
Article

"Insider" Order Marking Alternative Guidance Published By IIROC

On June 24, 2015, IIROC published Notice 15-0135 – Alternative Guidance on "Insider" Order Marking on an alternate means of complying with rule 6.2 of the Universal Market Integrity Rules.
CanadaCorporate/Commercial Law
Stikeman Elliott LLP
Stikeman Elliott LLP
  • Article

    Insider Trading - Better Safe Than Sorry

    A series of recent Alberta Securities Commission decisions recently underscored the inherent dangers of buying or selling securities of companies in which one is an insider.
    CanadaCorporate/Commercial Law
    Borden Ladner Gervais LLP
    Borden Ladner Gervais LLP
  • Article

    Insider Trading Isn't Just A Public Markets Problem

    For most people, the concept of insider trading likely conjures up thoughts of public companies and famous U.S. cases.
    CanadaCorporate/Commercial Law
    Lawson Lundell LLP
    Lawson Lundell LLP
  • Article

    ISS Contemplates Changes To Canadian Pay For Performance Guidelines

    Institutional Shareholder Services (ISS) recently published proposed updates to its benchmark proxy voting guidelines for 2013.
    CanadaCorporate/Commercial Law
    Stikeman Elliott LLP
    Stikeman Elliott LLP
  • Article

    Jail Time For Securities Regulatory Offences – Vancouver Court Hands Down 3 Year Sentence

    The Vancouver Provincial Court also ordered Mr. Dhanani to pay a total of $194,568 in restitution to five victims.
    CanadaCorporate/Commercial Law
    Cassels
    Cassels
  • Article

    Joint Regulators' Report Updates OBSI Dispute Resolution Activities For Registrants

    The Canadian Securities Administrators (other than Quebec), IIROC and the MFDA yesterday released the first annual report of OBSI's Joint Regulators Committee.
    CanadaCorporate/Commercial Law
    Stikeman Elliott LLP
    Stikeman Elliott LLP
  • Article

    Largo Resources Files Final Base Shelf Prospectus

    On June 4, 2021, Largo Resources Ltd. ("Largo") (TSX: LGO) (NASDAQ: LGO) obtained a receipt for a final short form base shelf prospectus (the "Shelf Prospectus")
    CanadaCorporate/Commercial Law
    Gowling WLG
    Gowling WLG
  • Article

    Launch Of SEDAR+ Completed

    The System for Electronic Data Analysis and Retrieval + (SEDAR+) launched on July 25, 2023. Accordingly, the exemptions from filing or delivering certain documents through SEDAR+ during the transition...
    CanadaCorporate/Commercial Law
    Blake, Cassels & Graydon LLP
    Blake, Cassels & Graydon LLP
  • Article

    Les ACVM Adoptent Des Règles Pour Réglementer Les Indices De Référence Financiers Et Les Administrateurs

    La réglementation des indices de référence et des administrateurs par les ACVM fait partie de la réponse internationale qui a suivi les allégations de manipulation du LIBOR en 2012.
    CanadaCorporate/Commercial Law
    Stikeman Elliott LLP
    Stikeman Elliott LLP
  • Article

    Let's Meet Halfway: CSA Adopts Amendments To Streamline Venture Issuers' Disclosure

    On April 9, 2015, the Canadian Securities Administrators (CSA) announced the adoption of amendments to continuous disclosure, governance and prospectus disclosure requirements (the Amendments).
    CanadaCorporate/Commercial Law
    Davies Ward Phillips & Vineberg LLP
    Davies Ward Phillips & Vineberg LLP
  • Article

    Limitation Periods In Investment Losses: Case Comment On Rotzang v. CIBC World Markets Inc.

    When does a limitation period begin for an investment loss claim where the client continues to have an account with an investment firm but receives no advice and does no trading in that account?
    CanadaCorporate/Commercial Law
    Torys
    Torys
  • Article

    Limitation Periods In Investment Losses: Rotzang v. CIBC World Markets Inc.

    When does a limitation period begin for an investment loss claim where the client continues to have an account with an investment firm but receives no advice and does no trading in that account?
    CanadaCorporate/Commercial Law
    Torys
    Torys
  • Article

    Maintaining The Status Quo: Canadian Securities Regulators Confirm No Changes To Current Approach To Determining Director And Audit Committee Member Independence

    The Canadian Securities Administrators (the "CSA") recently issued Staff Notice 52-330 – Update on CSA Consultation Paper 52-404 Approach to Director and Audit Committee Member Independence (the "Staff Notice").
    CanadaCorporate/Commercial Law
    McCarthy Tétrault
    McCarthy Tétrault
  • Article

    Meilleur accès au capital pour les émetteurs de la Colombie-Britannique ayant recours au financement participatif

    Comme nous l'avons précédemment expliqué, la BCSC a adopté un régime de financement participatif pour la première fois au début de 2015.
    CanadaCorporate/Commercial Law
    Stikeman Elliott LLP
    Stikeman Elliott LLP
  • Article

    Milestone's Upsized Offering Shows Power Of Canadian Bought Deals

    The Canadian capital markets allow public companies, including those with businesses based in the U.S., to efficiently raise capital through "bought deal" offerings.
    CanadaCorporate/Commercial Law
    Goodmans LLP
    Goodmans LLP
  • Article

    Mind The Gap: Regulatory Frameworks Fintech Companies Can Use Right Now

    Financial technology is changing how money changes hands, and fintech is evolving faster than the law.
    CanadaCorporate/Commercial Law
    Bennett Jones LLP
    Bennett Jones LLP
  • Article

    Multilateral Initiative Allows EMDs To Participate As Selling Group Members In Prospectus Offerings

    An exempt market dealer, or EMD, is a person or company that is registered with one or more provincial securities regulators and is a registered dealer that is restricted to dealing...
    CanadaCorporate/Commercial Law
    MLT Aikins LLP
    MLT Aikins LLP
  • Article

    New Alberta Secruities Commission Policy Encourages Self-Reporting Of Securities Breaches

    The Policy is intended to provide guidance and transparency as to the circumstances in which the ASC will exercise its discretion to grant credit to those individuals or entities subject to investigative...
    CanadaCorporate/Commercial Law
    Borden Ladner Gervais LLP
    Borden Ladner Gervais LLP
  • Showing 961–980 of 6399 results

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