CSA issues Staff Notice 41-307 on the concerns regarding an issuer’s financial condition and the sufficiency of proceeds from a prospectus offering *

Canada - October 5 2012
The Canadian Securities Administrators (CSA) released Staff Notice 41-307 (Notice) in March 2012, which discusses the CSA’s approach to the review of a prospectus related to any offering, including an IPO, new issue or secondary offering, when there are concerns with the financial condition of an issuer or the sufficiency of the proceeds of such offering. 

Co-authors: Amanda Robinson .

CSA issue notice and request for comment on proposed amendments to prospectus pre-marketing and marketing rules *

Canada - January 17 2012
The Canadian Securities Administrators recently released a Notice and Request for Comment proposing certain amendments to the prospectus rules in Canada affecting the pre-marketing and marketing activities permitted by issuers and investment dealers.

Co-authors: Steve Saville.