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Upcoming Amendments to National Instrument 45-106 Prospectus and Registration Exemptions (NI 45-106) Amendments to the individual accredited investor (AI) exemption and the minimum amount investment exemption, more commonly known as the $150,000 exemption will come into force on May 5, 20151in NI 45-106, which incidentally, will be renamed to National Instrument 45-106 Prospectus Exemptions. In…

On February 11, 2015, the OSC’s new capital raising prospectus exemption for reporting issuers listed on the Toronto Stock Exchange (TSX), the TSX Venture Exchange (TSXV), the Canadian Securities Exchange (CSE) or the Aequitas NEO Exchange1 (Aequitas and collectively, the Exchanges) is scheduled to come into effect in OSC Rule 45-501 Ontario Prospectus and Registration Exemption….

CSA Announces Limited Extension for Certain CRM 2 Requirements for Dealers and Advisers In an announcement made yesterday by Bill Rice, Chair of the Canadian Securities Administrators (CSA), the CSA has decided: The July 15, 2015 requirements applicable to registered dealers and advisers will be delayed until December 31, 2015. This means that the new…

The Canadian Securities Administrators (the “CSA”) and the Ontario Securities Commission (the “OSC”) recently introduced amendments to the exempt market dealer (“EMD”) registration category. Some of these amendments will undoubtedly make it more difficult for EMDs to become registered or restrict their business activities. Experience As of January 11, 2015, the chief compliance officer (“CCO”)…

When National Instrument 31-103 – Registration Requirements, Exemptions and Ongoing Registrant Obligations (“NI 31-103”) came into force, it introduced a new category of registration for firms. NI 31-103 requires all managers, whether persons or companies, of investment funds to register as an Investment Fund Manager (“IFM”) unless an exemption is available.  IFMs direct the business,…

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