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


Lawyer Sheldon Freeman, Neill May
Area Corporate Finance and Securities


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, 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

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