Securities Practice Notes

Real time quotes at the stock exchange

May 2016

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Significant New Proposals for Registrant Obligations Towards Their Clients

Dwight D. Dee, Erika Lai

In 2012, the Canadian Securities Administrators (the “CSA”) embarked on a consultation process as to the appropriateness of introducing a statutory best interest duty for registrants when advice is provided to retail investors.  Since 2012, various members of the CSA...

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Changes to Exempt Market Reporting Announced

Kevin J. Sorochan

The Canadian Securities Administrators (“CSA”) have announced that effective June 30, 2016, all issuers that distribute securities under certain prospectus exemptions will be required to use a new form of report of exempt distribution (the “New Form”). The New Form...

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