Neill May at the Canadian Institute's Securities Superconference

Details

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