Open/Close Menu Vancouver lawyer - top quality legal advice and representation

Mark Kolakowski published his article entitled, “SEC Considers Banning Payment for Order Flow” on October 22, 2021 on Investopedia.com. A payment for order flow (PFOF) is the payment that a broker receives from a market maker who processes the trades for the broker’s client. Robinhood Markets is one such broker that does not charge commissions…

This article entitled, “New and Improved TSX-V Capital Pool Company Program Rules Now in Effect” was prepared by James Leech and Michael J. Hanley of Torkin Manes LLP and posted on January 15, 2021. Their article provides a helpful summary of the new CPC rules. One of the significant changes is that the deadline of…

Keith Fraser of the Vancouver Sun wrote the following article entitled, “Vancouver stock promoter who failed to report $600,000 in income avoids jail” that was published on May 12, 2020. A Vancouver stock promoter who was once featured in Canadian Business magazine has received a conditional sentence of two years less a day to be…

The following article was published on the BC Securities Commission’s website on June 23, 2020. On June 23, 2020, the Canadian Securities Administrators (CSA) released its fiscal year 2019/20 Enforcement Report, which outlines how securities regulators are protecting investors and the integrity of Canada’s capital markets. Highlights from the fiscal year 2019/20 Enforcement Report include:…

The BC government introduced legislative amendments to the Securities Act (British Columbia) to improve the BC Securities Commission’s (the BCSC) ability to collect penalties as well as improve enforcement of white-collar investment offences. Bill 33, which lists the legislative amendments, was introduced to the legislative assembly on October 22, 2019 and had its first reading….

The BC Securities Commission published the following press release on June 26, 2019: The Canadian Securities Administrators (CSA) released its fiscal year 2018/2019 Enforcement Report, which outlines how securities regulators are protecting investors and the integrity of Canada’s capital markets. The report highlights the cross-jurisdictional collaboration and investments in technology that have enabled CSA members…

On May 2, 2019 the Canadian Securities Administrators (“CSA”) published a CSA Notice and Request for Comment introducing the National Systems Renewal Program (“NSPR”) aimed at developing a new centralized information technology system (the “Renewed System”) to replace various local records filing systems, as well as the System for Electronic Development Analysis and Retrieval (“SEDAR”),…

I initially wrote the below article on March 19, 2014. On August 18, 2018, the securities regulatory authorities of British Columbia, Manitoba, Nunavut, the Northwest Territories, and Yukon (the “participating jurisdictions”) announced that they will revoke their local orders that form the “Northwestern Exemption”. Alberta and Saskatchewan are still considering whether to revoke their local…

If you haven’t already heard, the securities regulatory authorities of British Columbia, Manitoba, Nunavut, the Northwest Territories, and Yukon (the participating jurisdictions) announced that they will revoke their substantially harmonized registration exemptions that form the “Northwestern Exemption” (the local orders). This announcement was made in Multilateral CSA Notice 32-302 (the Notice) Notice of Revocation for…

Mike Caswell posted the following article on April 20, 2018 on Stockwatch. He summarizes the findings of the Court of Appeal decision of Davis v. British Columbia (Securities Commission), 2018 BCCA 149. My colleague, Patricia Taylor and I argued this case in the Court of Appeal. The B.C. Securities Commission must be gentler with its…

Page 2 of 5 1 2 3 4 5
logo-footer

STAY CONNECTED: