Neill May and Sheldon Freeman at the Canadian Institute’s Securities Superconference

February 22 - 24, 2010
Metropolitan Hotel, Toronto

Monday, February 22, 2010
9:00 am to 12:00 pm:  Fundamentals of Securities Law In Canada

Speakers:  Neill May, Partner, Goodmans LLP and Sheldon Freeman, Partner, Goodmans LLP

This session will cover:

• Understanding the legal and regulatory framework in Canada
• Exploring the roles a nd mandates of the regulators
• Provincial Securities Commissions
• CSA
• Stock Exchanges
• IIROC
• Market Regulation Services Inc.
• Mutual Fund Dealers Association of Canada
• The registration requirement: registration of dealers, advisors and other investment professionals
• The prospectus requirement
• reviewing the IPO process
• private placements and the “closed system”
• Examining the critical role of key market participants
• Continuous disclosure obligations, insider reporting and other disclosure requirements
• Analyzing how securities enforcement works