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31 results found

Article

McCarthy Tétrault LLP | Canada | 30 Mar 2018

Serious Fraud Office and Other Investor Protection Measures Proposed in Ontario

On March 28, 2018, the Ontario government in its budget announced the following measures aimed at improving investor protection and enforcement

Article

McCarthy Tétrault LLP | Canada | 5 Mar 2018

IIROC Proposes Two New Forms of Disciplinary Action Against Dealer Firms and Approved Individuals

Recently, the Investment Industry Regulatory Organization of Canada (IIROC) proposed two new disciplinary programs (the Programs) that will be of

Article

McCarthy Tétrault LLP | USA, Global | 22 Feb 2017

Overview of IOSCO Research Report on Financial Technologies (Fintech)

Recently, the International Organization of Securities Commissions (IOSCO) released its Research Report on Financial Technologies (Fintech). IOSCO is

Article

McCarthy Tétrault LLP | Canada | 20 Dec 2016

Update on the CSA’s “Proxy Plumbing” Initiative

The Ontario Securities Commission (OSC) recently held a roundtable on the “Proposed Protocols for Meeting Vote Reconciliation”. The purpose of this

Article

McCarthy Tétrault LLP | USA, Canada | 20 Oct 2016

IIROC issues cybersecurity report cards to dealer firms

IIROC is providing all dealer member firms it regulates (Firms) with a confidential cybersecurity "report card" that will include: an individual

Article

McCarthy Tétrault LLP | Canada | 21 Jul 2016

2016 CSA Continuous Disclosure Review: Mistakes to Avoid and Drafting Tips

On July 18, 2016, the Canadian Securities Administrators (CSA) published a summary of the results of their annual continuous disclosure (CD) review

Article

McCarthy Tétrault LLP | Canada | 15 Jul 2016

OSC Clarifies Regulation of Out of Canada Distributions

The Ontario Securities Commission (the “OSC”) is seeking comment on Proposed OSC Rule 72-503 - Distributions Outside of Canada and its related

Article

McCarthy Tétrault LLP | Canada | 17 May 2016

Les propositions des ACVM concernant les personnes inscrites ont des effets très importants sur les courtiers et les conseillers au Canada

Les Autorités canadiennes en valeurs mobilières (les ACVM) ont publié un important document de consultation dans lequel il est proposé de rehausser

Article

McCarthy Tétrault LLP | Canada | 9 May 2016

As of Today, Early Warning Disclosure in Canada Has to Contain More Detailed Information About the Purpose of Acquisitions

Effective today, significant amendments to the Canadian early warning reporting (EWR) regime (EWR Amendments) come into force (see our March 3, 2016

Article

McCarthy Tétrault LLP | Canada | 25 Apr 2016

One Form, More Information: Significant Changes to Canadian Report of Exempt Distribution Coming in June

Currently, post-trade reports have to be filed by issuers or underwriters with Canadian securities regulators following certain exempt distributions

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