The CSA and CIRO have announced the results of their compliance sweep of registered dealers, portfolio managers and investment fund managers conducted in 2022.
An overview of the new integrated records filing system, SEDAR+, launching June 13, 2023.
Stakeholders are demanding good corporate governance, which includes effective succession planning where a range of skills, experience, and backgrounds are highly valued and reflected. In collaboration with WATSON, a national multidisciplinary governance firm, join us in the morning on Wednesday, April 19, to discuss strategies and action plans that drive robust succession planning and strong corporate governance.
Wednesday, April 19, 2023
Psychedelics have come to be viewed as a potential therapeutic tool by the general public and government. This bulletin summarizes recent Canadian developments.
On December 8, 2022, the Canadian Securities Administrators (the “CSA”) and the Investment Industry Regulatory Organization of Canada (“IIROC”) jointly published Staff Notice 23-329: Short Selling in Canada (the “Short Selling Notice”), which reviews the current regulatory requirements and initiatives with respect to short selling and seeks public feedback on areas for regulatory consideration.
An overview of the common deficiencies flagged by the CSA with respect to issuers' compliance with disclosure requirements under NI 52-112 and CP 52-112.
The CSA and IIROC jointly published Staff Notice 23-329 which reviews the current regulatory requirements and initiatives with respect to short selling.
The CSA cautions issuers against overly promotional "greenwashing" language in continuous disclosure in its biennial report - Staff Notice 51-364.
Alberta is implementing a new framework for regulating and licensing health care providers in connection with administering psychedelics.
An overview of risks and best practices for companies in relation to environmental, social and governance (“ESG”) claims and disclosure.
The Canadian Securities Administrators announced the introduction of a prospectus exemption which will be available to reporting issuers as of November 21, 2022.
This bulletin discusses new developments with respect to the Wright v Horizons decision.
Recent amendments to the Special Access Program and a look back to 2021 on developments affecting the psychedelics industry.
The annual January 30, 2022 deadline for investment funds to file a Report of Exempt Distribution (Form 45-106F1) is right around the corner.
The Canadian government recently introduced modified sanctions against Belarus and efficiencies to report requirements under Sergei Magnitsky Law.
Amended regulations by the CSA for registrants to protect older and vulnerable clients.
An Executive Order prohibiting U.S. persons from purchasing securities of certain Chinese Military-Industrial Complex companies becomes effective August 2, 2021
Capital market developments from the CSA regarding non-GAAP financial information.
This bulletin provides an overview of the regulations surrounding psychedelics in Canada and psychedelics companies in the Canadian capital markets.
NEO Exchange Inc. announces innovative listing offering to facilitate capital-raising opportunities for earlier stage and high growth companies.
The June 30, 2021 deadline for registered firms and their representatives to comply with the first phase of the CFRs relating to conflicts of interest is fast approaching. The new conflicts of interest requirements will require registrants to review and, where necessary, implement changes to their existing conflicts of interest policies and procedures.
May 6, 2021 - 2:00 pm to 3:00 pm ET
The June 30, 2021 deadline for registered firms and their representatives to comply with the new CFRs relating to conflicts of interest is fast approaching.
Review of Wright v. Horizons and potential future implications on IFAM industry.
A legal update on psychedelics: four Canadians with late stage cancer receive approval to use psilocybin to treat
their end-of-life distress.
Thinking about raising institutional capital to expand your reach in North America? There are a variety of considerations that impact how you do business in Canada and the United States.
A primer on the emerging psychedelics industry and how it fits into Canada's legal framework.
This discussion will highlight key priorities of the OSC, including an update on burden reduction work underway. Remarks will also focus on the OSC’s response to COVID19 and provide a regulatory roadmap for navigating contested transactions.
This bulletin summarizes our concerns and conclusions with respect to the Canadian short selling regulatory regime.
The Ontario Securities Commission (“OSC”) recently announced two important changes to certain regulatory requirements
Thinking about raising institutional capital to expanding your reach to the United States? There are a variety of considerations that will impact how you do business south of the border so we invite you to join us as we provide an overview of U.S. regulation.
June 5, 2019 - 4:00 pm to 6:45 pm
On May 15, 2019, the Ontario Securities Commission (“OSC”) announced that registrants will no longer have to pay late fees associated with the disclosure of outside business activities (“OBAs”) past the required deadline.
A recent Ontario Securities Commission (“OSC”) settlement agreement with NextBlock Global Limited (“NextBlock”) and Alex Tapscott (“Tapscott”) highlights the risk associated with issuers providing investor presentation slide decks or other marketing documents to prospective investors.
On May 2, 2019, the Canadian Securities Administrators (the “CSA”) set out next steps for a new, integrated national information and filing system (the “Renewed System”).
On November 9, 2018, Supreme Court of Canada upheld legislation that supports the creation of a national securities regulator under a cooperative system.
The Canadian Securities Administrators have published the much anticipated final version of amendments introducing a "liquid alternatives" regulatory regime
As a finding of "joint actor" or "acting jointly or in concert" can result in significant obligations, we have published a paper that seeks to provide clarity
The most successful lawyers are those who know how to engage other professional advisors.
June 21, 2018, the CSA released reforms to better align the interests of securities advisors, dealers, and representatives with the interests of their clients.
Amendments will amend requirements regarding the election of directors, make mandatory certain diversity disclosure and impact shareholder communications for federally-regulated public companies
Ontario Securities Commission (the "OSC") published OSC Staff Notice 11-779 Seniors Strategy and brings attention to the unique challenges relating to the financial lives of Ontario seniors (65+)
April 12 2018 Canadian Securities Administrators publish CSA Staff Notice 61-303 and Request for Comment Soliciting Dealer Arrangements to deepen understanding of use of soliciting dealer arrangements
Prospectus exemptions introduced by Rule 72-503 as well as exemptions for the resale of securities outside of Canada scheduled to come into force on June 12, 2018
The OSC and the FCAAS released their reasons for the orders granted concerning the hostile take-over bid by Aurora Cannabis Inc. for CanniMed Therapeutics Inc.
The Canadian Securities Administrators have published CSA Staff Notice 31-352 Monthly Suppression of Terrorism and Canadian Sanctions Reporting Obligations.
Today marks the first anniversary of the start of what was likely the most acrimonious proxy fight in Canada in 2017.
Regulatory Reset for Reports of Canadian Private Placements
Taking CASL by Storm: Compliance Tips for Investment Fund Managers
Regulators Rethink "Best Interest" Standard for Registrants
Please join us for a discussion with McMillan D & O liability experts Markus Koehnen and Leila Rafi. Drawing on practical examples from real contracts and cases, they will discuss how, why and when Boards get into trouble and give you techniques to keep Boards out of trouble.
May 10, 2017 - 12:00 pm to 1:30
Interoil/Exxon Plan of Arrangement: Third Time's A Charm