Canadian Corporate & Securities Lawyer
For Dealers and Advisors and their Representatives The Ontario Securities Commission (the OSC) has recently announced that it will engage in “mystery shopping” research involving dealers and advisors this fiscal year to gauge the suitability of advice currently being provided by registrants. The purpose of the research is to identify areas of concern that may […]
The Toronto Stock Exchange (the TSX) has recently published a Staff Notice on the pricing of stock options (Options) granted prior to an initial public offering (an IPO). Subsection 613(h)(i) of the TSX Company Manual states that Options granted under a security based compensation agreement may not be granted with an exercise price which is […]
The British Columbia Securities Commission (the BCSC) published a Guide in October 2013 called Capital Raising For Small Business (the Guide). The Guide states that it is for any small business, whether it be a start-up or an established business, that wants to raise money from private investors. It sets out how raising money from private investors differs from […]
