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Documents on Securities, Venture Capital

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HTMLSEC Releases 2015 Examination Priorities
Thomas M. Devaney, Jung Yeon Son; Sheppard, Mullin, Richter & Hampton LLP;
Legal Alert/Article
February 26, 2015, previously published on January 16, 2015
On January 13, 2015, the Office of Compliance Inspections and Examinations (“OCIE”) of the Securities and Exchange Commission (the “SEC”) released its 2015 examination priorities. The SEC identified three thematic issues: (i) matters relating to retail investors and...


HTMLWill the new Crowdfunding Exemption Open the Floodgates for Start-up Financing?
Lorraine Mastersmith; Perley-Robertson, Hill & McDougall LLP/s.r.l.;
Legal Alert/Article
August 1, 2014, previously published on July 25, 2014
In March of this year, the Ontario Securities Commission published a proposed new exemption from the prospectus filing requirement to permit equity-based Crowdfunding in Ontario. The proposed exemption was open for comment until June 18. There has been a fair amount of “buzz” about...


Adobe PDFStreamlined Venture Issuer Disclosure?
Tiffany Lee Bianchi, Michael A. Gerrior, Robert P. Kinghan, David Lowdon, Lorraine Mastersmith; Perley-Robertson, Hill & McDougall LLP/s.r.l.;
Legal Alert/Article
July 15, 2014, previously published on July 2, 2014
The CSA recently published a notice and request for comment regarding proposed amendments to the continuous disclosure obligations and audit committees of venture issuers the “Venture Issuer Amendments”). This is a follow on initiative to the CSA’s previous more comprehensive...


HTMLSEC Issues Interpretive Guidance on the Venture Capital Fund Adviser Exemption
Proskauer Rose LLP;
Legal Alert/Article
December 11, 2013, previously published on December 10, 2013
On December 2, 2013, the SEC's Division of Investment Management issued a new "Guidance Update" that provides some important interpretive guidance on the exemption from registration under the Investment Advisers act of 1940 (the "Advisers Act") for certain venture capital fund...


HTMLStatus of Claims against UBS and other Brokerage Houses for Investments in Closed En Funds
Luis E. Minana Associates Abogados-Notarios;
Legal Alert/Article
December 5, 2013, previously published on December 3, 2013
We have seen that the losses caused by the unsuitable recommendations, the lack of orientation and the concentration in CEFs and PR paper, has not only resulted in monetary damages, but also in psychological ones.


HTMLProposed New Prospectus Exemption for Distributions to Existing Security Holders of TSX-V Issuers
Dentons Canada LLP;
Legal Alert/Article
November 29, 2013, previously published on November 27, 2013
On November 21, 2013, the securities regulatory authorities in all Canadian jurisdictions, with the exception of Ontario and Newfoundland and Labrador (the “Participating Jurisdictions”), published for comment Multilateral CSA Notice 45-312 (the “Notice”). The Notice sets...


HTMLRaising Capital Through Crowdfunding: The Myth and the Reality
David L. Hefflinger; McGrath North Mullin & Kratz, PC LLO;
Legal Alert/Article
November 20, 2013, previously published on November 2013
Crowdfunding. Crowdfunding is a financing method used primarily by startups and small businesses to raise small amounts of capital from a large number of people over the internet. Crowdfunding websites currently avoid the securities laws since they do not sell stock or other securities. For...


HTMLSEC Proposes Rules Implementing The CROWDFUND Act
Taft Stettinius Hollister LLP;
Legal Alert/Article
November 4, 2013, previously published on October 29, 2013
On Oct. 24, 2013, the United States Securities and Exchange Commission (the “SEC”) released proposed rules (the “Proposed Rules”) for crowdfunding transactions, as required by Title III of the JOBS Act, the CROWDFUND Act. Under the Proposed Rules, which do not meaningfully...


Adobe PDFTSX Venture Exchange Implements Amendments to Incentive Stock Option Policy
Sherri Altshuler, Melanie Cole; Aird & Berlis LLP;
Legal Alert/Article
May 15, 2013
On May 8, 2013, the TSX Venture Exchange (the “TSXV”) implemented amendments to Policy 4.4 - Incentive Stock Options (“Policy 4.4”) which are effective immediately. Most of the amendments clarify and provide guidance on existing requirements and procedures. However, certain...


HTMLRecent SEC Settlements Serve as Cautionary Tale About the Use of Unregistered Broker-Dealers by Investment Advisers
Courtney Patrick Mitchell, Victor B. Zanetti; Andrews Kurth LLP;
Legal Alert/Article
March 28, 2013, previously published on March 21, 2013
The Securities and Exchange Commission (SEC) recently announced settlements involving a private equity firm, its former senior managing director, and an individual “finder” who solicited investors as an independent consultant for the firm. These settlements serve as a reminder to...


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