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HTMLMajor Changes to Capital Raising Exemptions in Canada: Is This Good News or Bad News for Issuers?
Robert N. Black, Sarah Bode, Don Collie; Davis LLP;
Legal Alert/Article
April 16, 2015, previously published on April 7, 2015
The Canadian Securities Administrators (CSA) have announced that they are implementing significant changes to the “accredited investor” (AI) and “minimum amount” prospectus exemptions set out in National Instrument 45-106 Prospectus and Registration Exemptions. On the same...

 

HTMLCanadian Securities Administrators Publish Consultation Paper 92-401 - Derivatives Trading Facilities
Christopher Bamford, Candace Pallone, Barry J. Ryan; McCarthy Tétrault LLP;
Legal Alert/Article
April 15, 2015, previously published on April 8, 2015
On January 29, 2015, the Canadian Securities Administrators (“CSA”) Derivatives Committee published for comment Consultation Paper 92-401 - Derivatives Trading Facilities (the “Consultation Paper”), its seventh in a series of high-level consultation papers examining reform...

 

HTMLOSC Accepts Circumstantial Evidence of Tipping and Insider Trading in Important New Decision
Shane C. D'Souza, Rene R. Sorell; McCarthy Tétrault LLP;
Legal Alert/Article
April 2, 2015, previously published on March 30, 2015
In the recent Azeff decision, which followed a contested hearing, the Ontario Securities Commission (OSC) accepted several insider tipping and trading allegations based on “firmly established” circumstantial evidence against a mergers and acquisitions (M&A) lawyer and four registrants....

 

HTMLProposed New Regulatory Landscape for Proprietary Trading Firms
Duane Morris LLP;
Legal Alert/Article
April 2, 2015, previously published on March 27, 2015
As the result of a recent series of proposed new and amended rules and regulations, firms whose business is proprietary trading in the financial markets - such as so-called "high frequency traders" (HFT) - may become subject to an entirely new substantive regulatory landscape, including...

 

HTMLSEC Staff To Express No Views On Conflicting Shareholder Proposals Under Rule 14a-8(i)(9) 
Andrew S. Kreider, Jason R. Schendel, John D. Tishler; Sheppard, Mullin, Richter & Hampton LLP;
Legal Alert/Article
March 24, 2015, previously published on January 29, 2015
On January 16, 2015, SEC Chair Mary Jo White issued a directive that the staff of the SEC review its position on Rule 14a-8(i)(9) of the Securities Exchange Act of 1934 (the “Exchange Act”). Concurrent with SEC Chair White’s directive, the Division of Corporation Finance announced...

 

HTMLLegal Update for Securities
Terrance A. Bostic, Jeffrey J. Chomko, Samuel E. Cohen, Andrew W. Davitt, Denis C. Dice; Marshall Dennehey Warner Coleman Goggin P.C.;
Legal Alert/Article
March 18, 2015, previously published on March 20, 2015
In a recent FINRA arbitration, Stanley Abel v. Janney Montgomery Scott, FINRA Arbitration No. 14-00018, Sam Cohen (Philadelphia, PA) obtained a directed verdict on behalf of his clients, Janney Montgomery Scott LLC, and its registered representative. The claimant, a public customer, as well as a...

 

HTML2015 Disclosure Update 
Colin Cameron-Vendrig, Jason M. Saltzman; Borden Ladner Gervais LLP;
Legal Alert/Article
March 13, 2015, previously published on February 6, 2015
Each year the Securities and Capital Markets team at BLG is asked what has changed to the continuous disclosure requirements for Canadian public companies.

 

HTMLE-Discovery and Social Networking: Perils and Pitfalls
Candace C. Uxbridge; was;
Legal Alert/Article
March 13, 2015, previously published by LexisNexis Martindale-Hubbell Counsel to Counsel Magazine
This is the article abstract. Important for readers and SEO.

 

HTMLEffective May 5, 2015: Implications For Issuers And Dealers, As Well As For Retail Investors
Michael Burns, Rebecca A. Cowdery, Donna Spagnolo, Michael Taylor, Michael T. Waters; Borden Ladner Gervais LLP;
Legal Alert/Article
March 12, 2015, previously published on February 27, 2015
The increased pace of regulatory change experienced over the last few years appears poised to continue during 2015, along with the Canadian Securities Administrators’ (CSA) focus on enhancing protections for retail investors. The CSA recently finalized and released important amendments to...

 

HTMLNew York Enacts Revisions to the UCC
Steven N. Cohen, Lech Kalembka, Bryon Mulligan; Cadwalader, Wickersham & Taft LLP;
Legal Alert/Article
March 12, 2015, previously published on December 29, 2014
As many readers are aware, substantial revisions to Article 9 of the Uniform Commercial Code (the “UCC”) became effective in all 50 states and the District of Columbia in 2001 or shortly thereafter.

 


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