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HTMLInvestor's Obligations to Mitigate with Notice of Regulatory Proceedings (and their Relevance)
Suzanne Kittell, Laura Paglia; Borden Ladner Gervais LLP;
Legal Alert/Article
February 12, 2016, previously published on January 29, 2016
The plaintiffs were amongst several investors who lost money in corporations promoted by individuals who had been the subject of proceedings by the Alberta Securities Commission (ASC). The defendants were their chartered accountant, as was the company he incorporated for consulting work. Through...

 

HTMLSuitability Infractions By Mutual Fund Advisor
Suzanne Kittell, Laura Paglia; Borden Ladner Gervais LLP;
Legal Alert/Article
February 12, 2016, previously published on January 29, 2016
As a result of a contested hearing, an MFDA registrant was permanently prohibited from conducting any securities-related business in MFDA jurisdiction and subject to a $750,000 fine with $20,000 in costs for recommending unsuitable leverage investments in return of capital ("ROC") and...

 

Microsoft WordUCITS V - ESMA Issues Q&As on Updating Fund Documentation
GANADO Advocates; GANADO Advocates;
Legal Alert/Article
February 9, 2016, previously published on February 2016
UCITS V - ESMA Issues Q&As on Updating Fund Documentation

 

HTMLSEC Picks a New Deputy Director of OCIE
Sutherland Asbill Brennan LLP;
Legal Alert/Article
February 9, 2016, previously published on February 5, 2016
On February 3, 2016, the SEC announced that Jane Jarcho has been named Deputy Director of OCIE. Ms. Jarcho has been the National Director of OCIE’s Investment Adviser/Investment Company examination program since 2013 and will continue in that role, overseeing approximately 600 lawyers,...

 

HTMLAdviser Sanctioned for Misleading Investors Regarding Investment Strategy and Performance
Sutherland Asbill Brennan LLP;
Legal Alert/Article
February 8, 2016, previously published on February 5, 2016
The SEC brought charges against an investment adviser and its owner for misleading investors about the investment strategy and historical performance of a hedge fund they managed. The SEC alleged that QED Benchmark Management L.L.C. and its owner Peter Kuperman represented to investors that the...

 

HTMLThe New Section 4(a)(7): More Than a Codification of Section “4(a)(1˝)”
Samuel Asher Effron, Clifford Michael Silverman; Mintz Levin Cohn Ferris Glovsky Popeo P.C.;
Legal Alert/Article
February 3, 2016, previously published on January 21, 2016
On December 4, 2015, the Fixing America’s Surface Transportation Act (the “FAST Act”) was signed into law by President Obama. Although the FAST Act is primarily a transportation bill, buried in this legislation is a new statutory exemption under Section 4(a)(7) of the Securities...

 

HTMLExcluding Your Gains on Small Business Investments
Daniel I. DeWolf, Rachel Gholston; Mintz Levin Cohn Ferris Glovsky Popeo P.C.;
Legal Alert/Article
February 3, 2016, previously published on January 19, 2016
2016 promises to be another very good year to invest in start-ups because of the extension of significant tax breaks for investors who invest in early stage companies. Investors who invest in small businesses can exclude capital gains realized on the sale of stock in such businesses if they choose...

 

Adobe PDFEmerging Market Debt: Another Test for the Financial Markets?
Corinne Ball, Stephen J. Pearson, Jayant W. Tambe, Michael O. Thayer; Jones Day;
Legal Alert/Article
February 2, 2016, previously published on January 2016
With oil hitting a 12-year low below $30 per barrel and with the volatility and decline of worldwide equities markets during the first weeks in January 2016, some are warning of a return to the bleak days at the beginning of the Great recession.1 In our April 2014 Commentary “High yield Debt:...

 

HTMLIncreased Complexities for Exempt Market Filings in Canada Effective May 24, 2016
Jason J. Brooks, Michael Burns, Rebecca A. Cowdery, Jonathan L. Doll, Christian Faribault; Borden Ladner Gervais LLP;
Legal Alert/Article
January 29, 2016, previously published on January 15, 2016
The members of the Canadian Securities Administrators (the CSA), other than the regulators in Ontario and British Columbia, recently adopted rule amendments that will require certain regulatory filings relating to exempt market activities to be filed on SEDAR (the System for Electronic Document...

 

HTMLFive Provinces Confirm Investment Dealer Exemption is Suitable
Graeme D. Martindale, Stefan McConnell, Stephen P. Robertson; Borden Ladner Gervais LLP;
Legal Alert/Article
January 29, 2016, previously published on January 18, 2016
The securities regulatory authorities in British Columbia, Alberta, Manitoba, New Brunswick and Saskatchewan (the Jurisdictions) have now adopted a new exemption (the Investment Dealer Exemption) from the prospectus requirements under securities laws with an aim to provide retail investors greater...

 


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