The Canadian Securities Administrators have published a notice dealing with reporting issuer defaults.The regulators note that they have developed a harmonized list of deficiencies that will generally result in a reporting issuer being noted in default of the securities laws of a particular jurisdiction. The notice describes those various deficiencies. Certain regulators also maintain lists […]
The Canadian Securities Administrators have published a report reviewing their oversight of self-regulatory organizations. It makes a number of recommendations for improving self-regulation, and its oversight of SROs.The CSA SRO Oversight Project Committee focused on issues related to the current regulatory system and was not intended to be a broader review of self-regulation. It notes […]
Microcap stocks may trade on markets with few listing standards
Streamlined approach will simplify and clarify expectations for issuers
Offers guidance to issuers subject to rule on recurring issues
Regulators propose to delete record-keeping requirements
Regulators publish results of SEDI user opinion survey
CSA notice outlines issues requiring further examination
Investors told not to assume an opportunity is authentic
Knowledge is not being put into practice