Information About BAX Securities Law Blog
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!
- Two ICO issuers settle with SEC, Agree to Register Tokens as Securities
In late November, 2018, the U.S. Securities and Exchange Commission (SEC) settled registration charges with two issuers of Initial Coin Offerings (ICOs), CarrierEQ Inc. (Airfox) and Paragon Coin Inc. (Paragon). These were the SEC’s first cases imposing civil penalties solely for ICO securities offer … Read more »
- The Licences and Authorizations you need from the AGCO, December 8, 2018
Over the next few weeks, the Alcohol and Gaming Commission of Ontario (“AGCO”) will be updating its online Cannabis Retail Regulation Guide (“Cannabis Guide”). The Cannabis Guide will be continually updated as information becomes available on the application process for retail cannabis licenses. The … Read more »
- BCSC Finds Increased Deficiencies in Compliance Among Portfolio Managers
The British Columbia Securities Commission (BCSC) reports that it has found an increased number of deficiencies in compliance among portfolio managers during 2018. The BCSC published these findings in its 2018 BCSC Annual Compliance Report Card (the Report Card). In 2018, the BCSC conducted 23 compl … Read more »
- Ontario Sets Out Regulations for the Licensing and Operation of Private Cannabis Stores
On November 14, 2018, the Ontario Government set forth the regime for the licensing and operation of private cannabis stores under Ontario Regulation 468/18 (the Regulation) made under the Cannabis Licence Act, 2018 (the License Act). Generally, the Regulation: establishes a minimum distance of 150 … Read more »
- Securities and Exchange Commission Charges EtherDelta Founder with Operating Unregistered Exchange
Earlier this month, the United States Securities and Exchange Commission (SEC) announced settled charges against the founder of a digital token trading platform, EtherDelta, Zachary Coburn with operating an unregistered national securities exchange. This is the SEC’s first enforcement order against … Read more »
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