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Results: 1-10 of 115

IIROC proposes restricted membership for U.S. broker-dealers

  • Blake Cassels & Graydon LLP
  • -
  • Canada, USA
  • -
  • July 13 2012

On July 12, 2012, the Investment Industry Regulatory Organization of Canada (IIROC), the investment dealer self-regulatory organization that is the Canadian equivalent of the Financial Industry Regulatory Authority (FINRA), published for comment a concept proposal on the introduction of a new class of IIROC member, called a “Restricted Dealer Member”

Legal trends '14: a forecast of the year ahead - Capital markets & securities regulation

  • Blake Cassels & Graydon LLP
  • -
  • Canada
  • -
  • January 14 2014

Equity markets were limited for mining issuers during 2013, and the trend is expected to continue into 2014 as the direction of metals prices remains

Canada imposes chaperone requirement for investment sub-advisers

  • Blake Cassels & Graydon LLP
  • -
  • Canada
  • -
  • December 17 2013

The Canadian Securities Administrators have proposed a new uniform Canadian registration exemption for investment sub-advisers, as part of a package

2013 proxy advisory voting guidelines: matters to consider

  • Blake Cassels & Graydon LLP
  • -
  • Canada
  • -
  • January 31 2013

While the Canadian Securities Administrators continue to consider comments received from market participants regarding whether there is a need to

Saskatchewan and New Brunswick join the Cooperative Capital Markets Regulatory System

  • Blake Cassels & Graydon LLP
  • -
  • Canada
  • -
  • July 10 2014

On July 9, 2014, the federal Canadian Government and the Saskatchewan and New Brunswick provincial governments entered into an amended agreement in

New cooperative capital markets regulator: how it works (and some unresolved issues)

  • Blake Cassels & Graydon LLP
  • -
  • Canada
  • -
  • October 23 2014

On September 8, 2014, the Canadian government and the British Columbia, Ontario, Saskatchewan and New Brunswick governments entered into a memorandum

OSFI releases draft amended Guideline on Corporate Governance

  • Blake Cassels & Graydon LLP
  • -
  • Canada
  • -
  • August 22 2012

On August 7, 2012, the Office of the Superintendent of Financial Institutions (OSFI) made available for comment a draft Guideline on Corporate Governance (Draft Guideline) for Federally-Regulated Financial Institutions (FRFIs

Canada proposes ban on exempt market dealers trading listed securities

  • Blake Cassels & Graydon LLP
  • -
  • Canada
  • -
  • December 17 2013

The Canadian Securities Administrators (CSA) have proposed rule changes that will narrow the trading powers of dealers registered in the category of

2014 proxy advisory voting guidelines: proxy season highlights

  • Blake Cassels & Graydon LLP
  • -
  • Canada
  • -
  • March 3 2014

While the Canadian Securities Administrators formulate a policy based approach to address concerns raised about services provided by proxy advisory

Securities regulators propose alternative approaches to defensive tactics

  • Blake Cassels & Graydon LLP
  • -
  • Canada
  • -
  • March 15 2013

On March 14, 2013, the Canadian Securities Administrators (CSA) published for comment draft National Instrument 62-105 - Security Holder Rights Plans