News & Analysis as of

Canadian Securities Administration

Investment Industry Regulatory Organization of Canada Sets Priorities for 2018

The Investment Industry Regulatory Organization of Canada (IIROC) has released its priorities for 2018 (Priorities). The Priorities address issues related to policy development, enforcement and IIROC’s general supervisory...more

CSA Propose Amendments to Reduce Compliance Burden for Private Placement Reports on Form 45-106F1

On June 8, 2017, the Canadian Securities Administrators (CSA) published for comment proposed amendments to Form 45-106F1, the form used for private placement reporting in Canada. The proposed amendments are intended to...more

OSC Seeks Stakeholder Input on Proposed Derivatives Business Conduct Rule

On May 29, 2017, the Ontario Securities Commission (OSC) hosted a half-day roundtable session to discuss the recently published Proposed National Instrument 93-101 – Derivatives: Business Conduct (Business Conduct Rule)....more

Alberta Government to Strengthen Powers Related to Securities Investigations

by Bennett Jones LLP on

On Monday, May 8, 2017, the Finance Minister introduced Bill 13: Securities Amendment Act, 2017. As described to the media, and during First Reading, the Bill aims to strengthen investor protection by amending and updating...more

Canadian Securities Administrators Seek to Reduce Regulatory Burdens for Reporting Issuers

As part of their ongoing efforts to balance investor protection through sufficient disclosure with efficiency in the capital markets, the Canadian Securities Administrators (CSA) have identified potential areas of securities...more

Cannabis in Canada - A Changing Legal Landscape: Corporate Finance & Capital Markets

Canadian Capital Markets - As changes in the regulatory regime open up significant opportunities in the cannabis sector, industry players will be seeking access to capital to fund growth, and investors will be looking...more

Canadian Regulators Propose Broad Derivatives Dealer and Adviser Business Conduct Rules

On April 4, 2017, the Canadian Securities Administrators (CSA) published for comment Proposed National Instrument 93-101 – Derivatives: Business Conduct (Business Conduct Rule), which would impose a range of business conduct...more

Due Diligence Defence Deemed Available for Issuance of Securities in Breach of Securities Laws

by Bennett Jones LLP on

The B.C. Securities Commission's (the Commission) decision in Re SunCentro (2017 BCSECCOM 58) provides rare guidance on the availability of a due diligence defence to parties that have illegally distributed securities. The...more

TSX Amends Proposal for New Website and Equity Compensation Plan Disclosure

On April 6, 2017, the Toronto Stock Exchange (TSX) published for comment a revised version of proposed amendments (Revised Amendments) to Part IV and Part VI of the TSX Company Manual (Manual) and certain other ancillary...more

Canadian Securities Administrators publish proposed national instrument derivatives: business conduct

by Dentons on

On April 4, 2017, the Canadian Securities Administrators OTC Derivatives Committee (the CSA) published the following proposed national instrument and related companion policy which will be open for comment for a 150-day...more

Canadian Securities Administrators - Update on Cybersecurity

by Bennett Jones LLP on

The most recent information from CSA on cybersecurity is set out in the summary of its roundtable discussion (released April 7, 2017) to explore response to cybersecurity incidents....more

Alert: ISDA Publishes Canadian Clearing Classification Letter

On March 30, 2017, the International Swaps and Derivatives Association, Inc. (ISDA), with the assistance of Blakes lawyers, published the ISDA Canadian Clearing Classification Letter. The letter enables market participants to...more

CSA Proposes New Canadian Derivatives Business Conduct Rules and Provides Update on Derivatives Registration Rules

by Bennett Jones LLP on

On April 4, 2017, the securities regulators of each of the provinces and territories of Canada–the Canadian Securities Administrators (CSA)–published a press release and CSA Notice and Request for Comments relating to...more

No Such Thing as March Break – Selected Corporate and Securities Law Developments

March was a busy month for corporate and securities law developments, with the publishing of staff notices by the Toronto Stock Exchange (TSX) and Canadian Securities Administrators (CSA), as well as developments regarding...more

Canadian Securities Administrators provide guidance on use of social media by reporting companies

by Dentons on

The rule of timely disclosure in Canada is, in essence, that a reporting (public) company must make significant information about itself available to the investing public on a timely and equal basis. The primary resultant...more

CSA Reviews Use of Social Media by Reporting Issuers

by Bennett Jones LLP on

On March 9, 2017, the Canadian Securities Administrators (CSA) published Staff Notice 51-348 Staff’s Review of Social Media Used by Reporting Issuers (notice). The notice provides the results of the CSA’s review of social...more

New Medium, Same Expectations: CSA Cautions Canadian Public Issuers on Use of Social Media

On March 9, 2016, the Canadian Securities Administrators (CSA) published Staff Notice 51-348 Staff’s Review of Social Media Used by Reporting Issuers (Staff Notice), which reported on the social media disclosure (Facebook,...more

Canadian Regulators Finalize Customer Protection Rules for Cleared OTC Derivatives

The Canadian Securities Administrators (CSA) recently published National Instrument 94-102 – Derivatives: Customer Clearing and Protection of Customer Collateral and Positions and the related Companion Policy (collectively,...more

Highlights From the Annual Canadian Securities Administrators' Enforcement Report

by Bennett Jones LLP on

The Canadian Securities Administrators (CSA) released its 2016 Enforcement Report this week. The ninth annual report highlights efforts taken across the country to deter and sanction wrongdoing in capital markets....more

Cybersecurity: Regulatory Risks for Canadian Issuers

by Bennett Jones LLP on

In the United States, the Securities Exchange Commission (SEC) has taken an active role in regulating cybersecurity issues. Canadian issuers should be aware that the risk of regulatory enforcement may be coming to Canada....more

Proxy Season 2017: Improving the Accuracy, Reliability and Accountability of Proxy Vote Reconciliation

by Bennett Jones LLP on

On January 26, 2017, the Canadian Securities Administrators (CSA) released CSA Staff Notice 54-305 Meeting Vote Reconciliation Protocols (the Protocols) concerning the improvement of the procedures used for counting proxy...more

SEC Issues No Action Letter Regarding Canadian Companies’ Registration of Rights Offerings on MJDS Form F-7

by Dorsey & Whitney LLP on

In December 2015, the Canadian Securities Administrators (CSA) announced an amended regime for a prospectus-exempt rights offering in Canada. This amended regime allows certain public companies in Canada to conduct a...more

CSA Publishes Final Proxy Voting and Meeting Vote Reconciliation Protocols

The Canadian Securities Administrators (CSA) recently published the final form of CSA Staff Notice 54-305 Meeting Vote Reconciliation Protocols (Final Protocols) for enhancing the procedures involved in the tabulation of...more

Canadian Regulators Finalize Mandatory OTC Derivatives Clearing Rules

On January 19, 2017, the Canadian Securities Administrators (CSA) published National Instrument 94-101 – Mandatory Central Counterparty Clearing of Derivatives and Companion Policy 94-101 (collectively, the Clearing...more

CSA Reports on Cybersecurity Disclosure Review

On January 19, 2017, the Canadian Securities Administrators (CSA) published Staff Notice 51-347 Disclosure of cyber security risks and incidents (Staff Notice), which reports on their broad-ranging review of the filings of...more

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