Securities Practice Notes

Real time quotes at the stock exchange

Spring 2013

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BC Securities Commission Releases 2012 Mining Report

Dwight D. Dee

“The BCSC reminds issuers that correcting filings may fix disclosure going forward but does not absolve a company from the original breach. In certain serious cases, the BCSC has warned that it will pursue enforcement action.” The British Columbia Securities...

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Canadian Renewable & Conservation Expense (“CRCE”): “Green” Energy Tax Incentives

In recent months, emerging or start-up companies have found it difficult to access the capital markets. Investors seem to be less willing to take on risk and have moved their investment dollars to companies that are perceived to be more...

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Canadian Coalition for Good Governance releases its 2013 Executive Compensation Principles

On December 17, 2012, the Canadian Coalition for Good Governance (“CCGG”) released its 2013 Executive Compensation Principles, refining and updating its previous publication released in 2009. Noting that executive compensation practices and regulatory reporting requirements have and continue to evolve,...

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Abdula v. Canadian Solar Inc.: In Ontario, Everyone is “Responsible”

David Woolford

In Abdula v Canadian Solar Inc.1, the Ontario Court of Appeal held that a publicly traded company that does business or has offices in Ontario can potentially be subject to a lawsuit by retail investors even if its shares are...

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CSA Shines a Spotlight on Mutual Fund Fees and Advisor Compensation

“According to the CSA, mutual funds are the most commonly held investment product in Canada, with 62% of all Canadian investors holding mutual funds in their investment portfolios. Most of these investors purchased their mutual funds through an advisor.” The...

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Update re. Communication with Beneficial Owners of Securities of a Reporting Issuer

Corporate and securities legislation require reporting issuers to send to their registered holders information and material that allow the holders to exercise their right to vote. National Instrument 54-101 addresses concerns that beneficial owners who hold their securities through intermediaries...

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