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HTMLMore Provinces Crowd into Crowdfunding, but Not Yet Ontario or Alberta
Bruce A. Hibbard, Michael N. Melanson, Usman M. Sheikh, Gary S.A. Solway; Bennett Jones LLP;
Legal Alert/Article
May 28, 2015, previously published on May 25, 2015
On May 14, 2015, the securities regulators of British Columbia, Saskatchewan, Manitoba, Québec, New Brunswick and Nova Scotia (the Crowdfunding Jurisdictions) announced that they have implemented, or expect to implement, exemptions that will allow Canadian start-ups and early-stage companies...

 

HTMLThe OSC Introduces Amendments to the Voluntary Delisting Rules in the TSX Company Manual
Ronald W. Fichter, Kwang Lim, John D. MacNeil, Stephanie A. Romano; Bennett Jones LLP;
Legal Alert/Article
May 28, 2015, previously published on May 22, 2015
An issuer seeking to voluntarily delist its securities from the Toronto Stock Exchange (TSX) is now faced with new rules aimed at providing protection to its security holders, which may require security holder approval to proceed with the delisting. On April 30, 2015, the Ontario Securities...

 

HTMLCanadian Securities Administrators Adopt National Policy 25-201 Guidance for Proxy Advisory Firms
J. Paul D. Barbeau, Matthew R. Olson, William S. Osler, Lisa Telebar; Bennett Jones LLP;
Legal Alert/Article
May 27, 2015, previously published on May 8, 2015
On April 30, 2015, the Canadian Securities Administrators (CSA) adopted National Policy 25-201Guidance for Proxy Advisory Firms. The Policy may be viewed on the websites of CSA members, including the Alberta Securities Commission and the Ontario Securities Commission.

 

Adobe PDFSEC Issues Guidance on Approach to Forum Selection in Contested Actions
Nicolas Bourtin, David H. Braff, Justin J. DeCamp, Robert J. Giuffra, Sharon L. Nelles; Sullivan & Cromwell LLP;
Legal Alert/Article
May 27, 2015, previously published on May 11, 2015
The SEC’s Division of Enforcement has issued guidelines explaining the factors it will consider in determining whether to bring enforcement actions as administrative or judicial proceedings. The SEC recently has been criticized for its increased use of administrative proceedings to resolve...

 

Adobe PDFOSC Applies Insider Trading Principles to a Non-Reporting Issuer as a Matter of "Public Interest"
Goodmans LLP - Toronto;
Legal Alert/Article
May 26, 2015, previously published on April 8, 2015
The Ontario Securities Commission (OSC) issued an Order approving a settlement agreement between OSC staff (“Staff”) and Anand Hariharan in connection with insider trading allegations against Hariharan regarding his trading of a non-reporting issuer’s option contracts (the...

 

HTMLUS Bureau of Economic Analysis BE-10 Reporting Deadline Looms
Richard Cassell, David Guin, Mark Tice, Erik X. Wallace, Sheri M. Yano; Withers Bergman LLP;
Legal Alert/Article
May 25, 2015, previously published on May 14, 2015
The US Department of Commerce Bureau of Economic Analysis (the “BEA”) recently revived a little-known reporting obligation under a US statute called the International Investment and Trade in Services Survey Act (the “Act”). As we explain below, many US companies, US...

 

HTMLSEC’s Proposed SBS Rules on Cross-Border Security-Based Swap Activities
Brian Barrett, James M. Cain, Daphne G. Frydman, David T. McIndoe, Mark D. Sherrill; Sutherland Asbill & Brennan LLP;
Legal Alert/Article
May 25, 2015, previously published on May 22, 2015
When the Securities and Exchange Commission (SEC) adopted final rules in June 2014 on the cross-border activities of security-based swap (SBS) dealers and major SBS participants, the SEC indicated that it would reserve the definition of the phrase “transaction conducted within the United...

 

HTMLSEC to Registered Investment Advisers and Broker-Dealers:  It’s Your Turn to Pay Attention to Cybersecurity
Mintz Levin Cohn Ferris Glovsky Popeo P.C.;
Legal Alert/Article
May 22, 2015, previously published on May 18, 2015
The Division of Investment Management of the Securities & Exchange Commission (SEC) has weighed in on cybersecurity of registered investment companies (“funds”) and registered investment advisers (“advisers”) as an important issue because both funds and advisers...

 

HTMLSEC Proposals: Additional Form ADV Reporting, Revised Recordkeeping Rules
Sutherland Asbill Brennan LLP;
Legal Alert/Article
May 22, 2015, previously published on May 21, 2015
On May 20, the SEC proposed additional reporting requirements for advisers on Form ADV that would (1) require advisers to provide additional information, including information about their separately managed account business; (2) incorporate a method for private fund adviser entities operating a...

 

HTMLDigital Advertising Alliance to Enforce Mobile App Principles
Mintz Levin Cohn Ferris Glovsky Popeo P.C.;
Legal Alert/Article
May 22, 2015, previously published on May 18, 2015
Starting September 1, the Digital Advertising Alliance (DAA) will begin to enforce its Application of Self-Regulatory Principles to the Mobile Environment. The DAA issued the mobile principles back in July of 2013 (see our post here), but delayed enforcement while the DAA implemented a choice...

 


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