Proposed changes to early warning reporting system address market transparency and shareholder activism in Canada *

Canada - March 15 2013
Under Canada's early warning reporting (EWR) system, investors holding 10% or more of a public company's voting securities must publicly report their…

Co-authors: Sean D. Sadler, Cristian O. Blidariu, Sonia J. Struthers, Jonathan R Grant, Ian Michael.

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IIROC guidance distinguishes compliance from supervision *

Canada - February 25 2013
In the wake of a disciplinary panel's reasons given in 2012 in Re Northern Securities (Northern Securities),1 the Investment Industry Regulatory…

Co-authors: Cristian O. Blidariu.

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Update on Ontario Securities Commission Staff Notice 51-720 — issuer guide for companies operating in emerging markets *

Canada - December 10 2012
The Ontario Securities Commission (OSC) recently issued Staff Notice 51-720, Issuer Guide for Companies Operating in Emerging Markets (Guide).

Co-authors: Michael A. Feder, Caroline Zayid.

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OSC reports on 2012 compliance experience *

Canada - December 6 2012
The OSC has released its 2012 compliance report (OSC Staff Notice 33-738) on dealers, advisers and investment fund managers.

Co-authors: Sean D. Sadler.

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New rules proposed for direct electronic linkages to exchanges and other marketplaces *

Canada - November 26 2012
Under Canadian securities law, registered dealers are intended to intermediate orders between customers and marketplaces.

Co-authors: Cristian O. Blidariu.

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