Information About BAX Securities Law Blog
Recent Posts
Below is a preview of the five most recent posts from the blog BAX Securities Law Blog. To read these posts in their entirely or subscribe to future updates from this blog, please visit their website!
- BAX Securities Law Announces January Toronto Business Lawyers Association Monthly Meeting
Toronto, January 10, 2025: BAX Securities Law is pleased to announce that the firm has resumed its sponsorship of the Toronto Business Lawyers Association (TBLA) networking and business development monthly meetings. Barbara Hendrickson, Managing Partner of BAX Securities Law, is pleased to invite f … Read more »
- CIRO Publishes Request for Comment – Proposal to harmonize CIRO Continuing Education (CE) Programs
The Canadian Investment Regulatory Organization (CIRO) has published proposed amendments to its continuing education (CE) programs under the Investment Dealer Partial Consolidated (IDPC) Rules and the Mutual Fund Dealer (MFD) Rules (The Proposed Amendments). CIRO had published the Proposed Amendment … Read more »
- BCSC Publishes Guidance On Misrepresentations And False And Misleading Statements
The British Columbia Securities Commission (BCSC) has published BC Notice 15-702 Prohibitions against Misrepresentations and False or Misleading Statements (The Staff Notice). The Staff Notice provides guidance about the prohibitions in sections 50(2) and 50(3) of the British Columbia Securities Act … Read more »
- OSC Publishes Compliance Review Findings And Guidance For Crypto Asset Trading Platforms
The Ontario Securities Commission (OSC) recently published its findings from a focused compliance review of crypto asset trading platforms (CTPs). OSC Staff Notice 33-757 Review of Restricted Dealer Crypto Asset Trading Platforms’ Compliance with the Account Appropriateness, Investment Limits and Cl … Read more »
- Canadian Securities Administrators Issue Guidance And Open Consultations On Use Of AI Systems In Capital Markets
The Canadian Securities Administrators (CSA) have published CSA Staff Notice and Consultation 11-348 – Applicability of Canadian Securities Laws and the Use of Artificial Intelligence Systems in Capital Markets (the Staff Notice), intended to provide guidance on how securities legislation applies to … Read more »