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Searching Content indexed under Securities by Torys LLP ordered by Published Date Descending.
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1
New Diversity Disclosures Under The CBCA Effective For Annual Meetings In 2020
New diversity disclosure requirements will be effective for annual meetings of public CBCA corporations beginning on January 1, 2020.
Canada
18 Jul 2019
2
Public Naming Now Mandatory For Violations Of Anti-Money Laundering Laws
The naming provisions of the Proceeds of Crime (Money Laundering) and Terrorist Financing Act (PCMLTFA) were amended on June 21 when Bill C-97
Canada
15 Jul 2019
3
Proposed Changes To Taxation Of Employee Stock Options Released, But Deferred
The Government released draft legislative proposals (Proposals) on June 17 to implement the changes to the employee stock option tax regime announced in the 2019 Federal Budget (Budget).
Canada
1 Jul 2019
4
Three-Year Business Plan Of Canada's Securities Regulators: Notable Items For Public Companies
Canada's securities regulators have published their three-year business plan for 2019–2022. Streamlining regulation without reducing investor protection is identified as a key mandate—consistent
Canada
1 Jul 2019
5
Soliciting Dealer Arrangements: New Guidance From IIROC
IIROC has published guidance1 for dealers about managing conflicts of interest arising from soliciting dealer arrangements.
Canada
10 Jun 2019
6
In-House Counsel And Insider Trading: What Can We Learn From Recent Case Law?
Two recent insider trading cases involving internal counsel, one on each side of the border, serve as a reminder of the high standards to which regulators hold internal counsel, and the importance of robust insider trading policies.
Canada
22 May 2019
7
Testing The Waters, Cryptocurrencies And More: U.S.-Canada Public Markets Update
There are a number of recent developments in U.S. securities regulation that will be noteworthy to some Canadian companies.
Canada
22 May 2019
8
U.S. Public Offerings: All Companies May Soon Be Permitted To Test The Waters
The SEC has proposed a new rule to permit any company to test the waters for a U.S. public offering.
Canada
4 Mar 2019
9
OSC Dismisses Insider Trading And Tipping Case In Re Soave
A key component of illegal insider trading is that the trader—or person who tipped the trader—is in a "special relationship"
Canada
13 Feb 2019
10
Enforcing Advisor Loans
Will courts give weight to regulatory findings and sanctions when considering an advisor's claim that they have been wrongfully dismissed in the face of a dealer's attempt to enforce repayment
Canada
1 Feb 2019
11
Key Issues For Boards Of Directors In 2019
The role of directors is more challenging than ever given increased volatility and competitive pressures in the business environment coupled with a legal framework that is imperfectly aligned
Canada
31 Jan 2019
12
U.S. Private Funds Watch: 2019 Regulatory Considerations
Earlier than what has been typical in other years, on December 20, 2018, the SEC's Office of Compliance Inspections and Examinations (OCIE) ...
United States
29 Jan 2019
13
Future Uncertainty: Forecasts In IPO Prospectuses
Although not required by law, the inclusion of financial forecasts in Canadian IPO prospectuses has become commonplace–a necessary tool to market and price an offering successfully.
Canada
29 Jan 2019
14
CBCA Corporations Must Begin Tracking Controlling Shareholders
CBCA corporations will soon have to establish a securities register detailing all individuals with significant control over the corporation.
Canada
24 Jan 2019
15
Conflicts Of Interest Remain A Regulatory Focus
Regulators continue to focus on real and perceived conflicts of interest, whether as between individual advisers and their clients, or as between registered portfolio managers and affiliates.
Canada
5 Dec 2018
16
Alberta Securities Commission Introduces Whistleblower Program
The Alberta Securities Commission (ASC) introduced a Whistleblower Program on November 20, which enables whistleblowers to report securities-related misconduct to the ASC without fear of repercussion
Canada
28 Nov 2018
17
Public Companies' Uneasy Relationship With Social Media
This simple tweet on August 7 by Tesla CEO Elon Musk sent social media—and indeed the business world—into a frenzy. The tweet caused Tesla's stock price to rise for a short time,
Canada
19 Oct 2018
18
OSC Weighs FOI Requests Against Protected Information
Can the confidentiality protections under the Securities Act (Act) shield evidence from disclosure in freedom of information requests?
Canada
15 Oct 2018
19
Non-GAAP Financial Measures: Canada's Securities Regulators Propose Stricter Rules
Canada's securities regulators are proposing new rules on how companies present non-GAAP financial measures like adjusted earnings, adjusted EBITDA, free cash flow, pro forma earnings, distributable cash, earnings before non-recurring items and others.
Canada
6 Oct 2018
20
Too Taxing? CCAA Debtors' Post-Filing Municipal Tax Obligations Suspended
Under the Companies' Creditors Arrangement Act, debtors have certain post-filing obligations.
Canada
3 Oct 2018
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