Securities Practice Notes

Real time quotes at the stock exchange

Winter 2011

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CSA Staff Notice 51-333: Environmental Reporting Guidance

Blair C. Lowther, Dwight D. Dee

Introduction Increasing environmental awareness has significantly affected the manner in which businesses operate and plan for the future. With environmental regulation at the forefront of the public conscience, companies and investors have requested clarification of the continuous disclosure (“CD”) requirements...

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New Regulation For Rating Agencies

The Canadian Securities Administrators (the “CSA”) have recently released for comment proposed National Instrument 25-101 Designated Rating Organizations (the “Proposed Rule”). The Proposed Rule is the first attempt to regulate credit rating organizations (“CROs”) in Canada.  The CSA have, apparently,...

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IIROC New Product Due Diligence Regulatory Review – Common Deficiencies and Requirements for Written Policies, Procedures and Controls

Dwight D. Dee

In our Fall 2009 issue, we discussed the Canadian Securities Administrators’ (“CSA”) Staff Notice 33-315 entitled Suitability Obligation and Know Your Product (the “Staff Notice”) in which the CSA gave guidance to registrants with respect to the “know your product” and...

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CSA Staff Notice 51-332 – Continuous Disclosure Review Program Activities for the fiscal year ended March 31, 2010

On an annual basis reporting issuers can benefit from reviewing the results of the Canadian Securities Administrators’ (the “CSA”) continuous disclosure (“CD”) review program. The CD review program has the goal of identifying material disclosure deficiencies in the public disclosure...

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Court Approval of Plan of Arrangement: The Magna Decision

Jay M. Hoffman

In August 2010, the Ontario Superior Court of Justice approved a plan of arrangement (“Arrangement“) which allowed Magna International Inc. (“Magna“) to eliminate its dual class share structure. A plan of arrangement is a court supervised procedure that requires the...

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