Securities Practice Notes

Real time quotes at the stock exchange

January 2015

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Amendments to the TSX Venture Exchange’s Policies on Private Placements and Loans, Loan Bonuses, Finders Fees and Commissions

On January 26, 2015, the TSX Venture Exchange (the “Exchange”) implemented amendments to Policy 4.1 – Private Placements (“Policy 4.1”), the corresponding Form 4B – Notice of Private Placements (“Form 4B”) and other related forms and Policy 5.1 – Loans,...

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TSX Private Markets — A New Platform in Canada’s Exempt Markets

David Woolford

Background to Exempt Markets In 2014, the various provincial and territorial commissions conducted reviews of the existing exempt market regime so as to determine if changes could be made that would facilitate the raising of private equity for small and...

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Are Your Underwriting Due Diligence Practices Consistent with IIROC’s Expectations? Release of Final Guidance Provides a Valuable Opportunity for an Internal Review

Dealer Members of the Investment Industry Regulatory Organization of Canada (“IIROC“) may wish to consider conducting an evaluation of their due diligence policies and procedures in relation to prospectus offerings, to consider whether their practices are consistent with IIROC’s expectations....

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