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Neill May at the 17th Annual Securities Superconference


Lawyer Neill May
Area Corporate Finance and Securities


February 21, 2007
9:00am  Fundamentals of Securities Law in Canada

Speaker:  Neill May, Goodmans LLP

This session will cover:

  • The legal and regulatory framework
    • Security Acts and regulations
  • The regulators:  their roles and mandates
    • Securities Commissions
    • Stock Exchanges
    • SRO’s
    • Investment Dealers Association of Canada
    • Mutual Fund Dealers Association of Canada
    • Others
  • The critical roles of key market participants
    • Institutional investors
    • Self-regulatory organizations
    • Others
  • Securities Enforcement:  how it works
  • Private placements:  rules, exemptions, subscription agreements
  • Registration of dealers, portfolio managers, and other market players

Canadian Institute's 17th Annual Securities Superconference
February 21-23, 2007
The Sutton Place Hotel, Toronto

Complete conference details can be found on the event website