Securities Practice Notes

Real time quotes at the stock exchange

April 2015

Displaying 1-5 of 5

Amendments to Continuous Disclosure Requirements and Corporate Governance Obligations for Venture Issuers

Nikita Ponomarev

On April 9, 2015, the Canadian Securities Administrators (the “CSA“) announced that it is implementing amendments (the “Amendments“) to National Instrument 51-102 Continuous Disclosure Obligations (“NI 51-102“), National Instrument 41-101 General Prospectus Requirements (“NI 41-101“) and National Instrument 52-110 Audit...

More

Mining Issuers: Make Sure Your Website Complies with 43-101

Dwight D. Dee

Issuers in the mining industry should be aware that the requirements of National Instrument 43-101 Standards of Disclosure for Mineral Projects (“NI 43-101”) apply to all types of disclosure, including disclosure on an issuer’s website.  On April 9, 2015, the...

More

Prospectus Exemption Proposed for Retail Investors Who Have Received Investment Advice

On April 16, 2015, the Canadian Securities Administrators announced that the securities regulatory authorities in British Columbia, Saskatchewan and New Brunswick are each publishing for comment a proposed prospectus exemption (the “Proposed Exemption“) that could provide issuers with the ability...

More

Proposed Amendments to the Passport System

Amendments to Multilateral Instrument 11-102 Passport System On April 16, 2015, the Canadian Securities Administrators (the “CSA“), except for the Ontario Securities Commission (the “OSC“), published for a 60 day comment period proposed amendments (the “Proposed Amendments“) to Multilateral Instrument...

More

The Finkelstein Decision: OSC Provides Clarity on Insider Trading and Tipping Proceedings

Jay M. Hoffman, Alexander Lalka, Emily Cole

On March 24, 2015, a panel (the “Panel“) of the Ontario Securities Commission (“OSC”) found that former Toronto securities lawyer, Mitchell Finkelstein, and four investment advisers breached the illegal insider trading and tipping provisions of the Securities Act (Ontario) (the...

More

Displaying 1-5 of 5