Securities enforcement activities in Canada are overseen by
several agencies, including the Canadian Securities Administrators,
the Investment Industry Regulatory Organization of Canada, the
Ontario Securities Commission, the Autorité des
marchés financiers and the Alberta Securities
The infographics below are based on data published by these
respective organizations and cover the time period up to the end of
2015. They summarize recent securities enforcement activities and
highlight upcoming changes for 2016.
To continue reading this article, please click
The content of this article is intended to provide a general
guide to the subject matter. Specialist advice should be sought
about your specific circumstances.
To print this article, all you need is to be registered on Mondaq.com.
Click to Login as an existing user or Register so you can print this article.
Please join us for a discussion of the legal and business aspects involved in the planning, construction and completion of a development project in downtown Toronto. The panel will use an office tower as a case study, but the analysis will be applicable to commercial and industrial developments, including hotels and shopping centres.
Strong negotiation skills are key to career advancement and success. Being able to help others overcome differences to reach mutually beneficial agreements is an essential leadership skill. Collaborative negotiation, the most sophisticated and effective negotiation approach, is a natural core competency of many women, although it is often difficult to master.
During the program, preparation for complex negotiations using both a competitive and collaborative mindset will be discussed. Strategies for more easily uncovering and using mutual interests for maximum outcome will be presented. Ultimately, you will optimize and build upon your negotiation strengths for greater success at work.
Please join us as we address recent developments in record keeping, new provisions impacting in-house law clerks, and record keeping as it pertains to intellectual property. Providing a high-level overview of record keeping and minute books, we will touch on best practices for collecting, organizing and preserving documents.
In Ontario Securities Commission v. Tiffin, the Ontario Court of Justice clarified the limits of the definition of "securities" under s.1(1) of the Securities Act, as it relates to promissory notes. The defendant in the case was charged with trading in securities without being registered and while prohibited, and without filing a prospectus.
The OSC has issued a press release advising stakeholders that Ontario securities law may apply to any use of distributed ledger technologies, such as blockchain, as part of financial products or service offerings.
The use of electronic signatures is becoming increasingly commonplace in commercial transactions, as individuals and businesses capitalize on the administrative efficiency afforded by today’s digital world.
Register for Access and our Free Biweekly Alert for
This service is completely free. Access 250,000 archived articles from 100+ countries and get a personalised email twice a week covering developments (and yes, our lawyers like to think you’ve read our Disclaimer).