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Matters to consider before implementing "notice-and-access"
- Stikeman Elliott LLP
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- Canada
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- February 27 2013
Amendments to National Instrument 54-101 Communication with Beneficial Owners of Securities of a Reporting Issuer (NI 54-101) are now in force. These
SEC fines dark pool $1 million for misleading customers
- Stikeman Elliott LLP
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- Canada
- -
- November 18 2011
The U.S. Securities and Exchange Commission recently imposed a $1 million administrative penalty against Pipeline Trading Systems LLC for misleading investors in connection with the operation of its dark pool
CSA propose to ease restrictions on marketing rules in connection with prospectus offerings
- Stikeman Elliott LLP
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- Canada
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- November 25 2011
The Canadian Securities Administrators proposed amendments today intended to expand the scope of marketing activities that can be conducted in connection with prospectus offerings and to clarify other related restrictions applicable to bought deals
Proposed amendments to prospectus marketing rules: pre-marketing of bought deals and other amendments
- Stikeman Elliott LLP
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- Canada
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- February 27 2012
This is the fourth in a series of posts in which we take a closer look at proposed amendments to NI 41-101, released by the Canadian Securities Administrators in November 2011
Implementing new Canadian "notice-and-access" rules for electronic posting of proxy and other materials
- Stikeman Elliott LLP
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- Canada
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- January 16 2013
The Canadian Securities Administrators (CSA) recently published final amendments to National Instrument 54-101 Communication with Beneficial Owners
Short sales in Canada: current regulations and recent changes
- Stikeman Elliott LLP
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- Canada
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- April 28 2009
The recent volatility in equity markets led to a variety of responses by regulators
Reminder of new certifications and MD&A disclosure required for 2008 year-end filings
- Stikeman Elliott LLP
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- Canada
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- March 17 2009
On October 24, 2008, the Canadian Securities Administrators (the CSA) adopted a revised form of National Instrument 52-109 Certification of Disclosure of Issuers’ Annual and Interim Filings (NI 52-109 or the Instrument
Preparing for Canada's new insider reporting requirements in force April 30, 2010
- Stikeman Elliott LLP
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- Canada
- -
- April 22 2010
While a narrower group of "insiders" will be required to report, the rules also include specific reporting obligations in respect of management companies, income trust issuers and those holding convertible securities
OSC to consider majority voting, say-on-pay and other shareholder democracy issues
- Stikeman Elliott LLP
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- Canada
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- January 11 2011
The Ontario Securities Commission yesterday published a staff notice advising on its review of issues relating to shareholder democracy
CSA propose "notice and access" shareholder communication model
- Stikeman Elliott LLP
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- Canada
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- July 9 2010
As we discussed in our post of April 9, the Canadian Securities Administrators (CSA) have recently published much-anticipated proposals to amend National Instrument 54-101 Communication with Beneficial Owners of Securities of a Reporting Issuer (NI 54-101), which would give issuers the option to post proxy-related materials on a non-SEDAR website under a "notice-and-access" model
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- Workarea - Capital Markets
- Firm Name - Stikeman Elliott LLP
- Author - Ramandeep K. Grewal
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