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By The Securities Group
On July 13, 2017, the Investment Industry Regulatory Organization of Canada published IIROC Notice 17-0144 Withdrawal of the New Methodology for Margining Equity Securities-Dealer Member Rule 100 and ...
By Darin Renton
On July 6, 2017, the IIROC published final amendments to the Universal Market Integrity Rules and the Dealer Member Rules related to best execution requirements which will come into effect on January 2, 2018.
By Alix d'Anglejan-Chatillon, Darin Renton
Under a series of amendments to National Instrument 31-103 – Registration Requirements, Exemptions and Ongoing Registrant Obligations published on July 27, 2017, the CSA have banned exempt market dealers ...
By Patrick Duffy, Alex DeParde
In Clyde River (Hamlet) v. Petroleum Geo-Services Inc. and its companion case Chippewas of the Thames First Nation v. Enbridge Pipelines Inc., released this week, ...
By The Securities Group
Staff of the securities regulatory authorities in each of Ontario, Quebec, Alberta, Manitoba, and New Brunswick have published commentary on Multilateral Instrument 61-101 Protection of Minority...
By Darin Renton
The Report cautions firms that they are responsible for deficiencies in individual registration forms.
By Jean-Guillaume Shooner, Nathaniel Lacasse
On July 11, 2017, in its much-anticipated decision in Club Intrawest v. The Queen, the FCA set aside a judgment of the Tax Court of Canada and ruled that GST/HST is exigible only on that portion of annual resort fees paid to the appellant, ...
By Andrew Cunningham, Stuart Carruthers
The CCIR, the umbrella group of Canadian provincial insurance regulators, recently released a position paper outlining proposals for enhanced consumer protection in the design and delivery...
By The Securities Group
On May 11, 2017, the TSX published housekeeping amendments to the TSX Company Manual related to non-public interest changes.
By The Securities Group
For further information, please see TSX Notice of Housekeeping Rule Amendments.
By The Securities Group
TSX Venture Exchange listed issuers have also been subject to MI 61-101 pursuant to TSX-V Policy 5.9 Protection of Minority Security Holders in Special Transactions.
By Darin Renton
On July 6, 2017, IIROC published for comment IIROC Notice 17-0139 Proposed Amendments to Client Identification and Verification Requirements.
By Darin Renton
The IIROC is the national self-regulatory organization (SRO) that oversees all investment dealers, as well as trading activity on debt and equity marketplaces in Canada.
By The Securities Group
The CSA is withdrawing the best execution disclosure rules proposed in May 2014 in light of amendments to IIROC's best execution rules which were approved on June 28, 2017.
By The Securities Group
Proposed rule amendments and policy changes related to designated rating organizations (DROs) and the credit ratings of DROs were published for comment by the Canadian Securities Administrators...
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