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Canadian Securities Regulatory Monitor News and Insight

About

This blog monitors recent Canadian securities regulatory developments, and provides insight on the impact of these developments on your business.

Our contributing bloggers include the following:

Cristian Blidariu has a general corporate and commercial practice that includes public and private M&A, corporate finance and securities, with particular emphasis on the regulation, development and merger of retail mutual funds. He has assisted with numerous securities compliance and enforcement matters including novel exemptive relief applications and cases before the Ontario Securities Commission. He has co-presented on shareholder activism topics for the Federated Press conference 12th General Counsel’s Role in Maximizing Corporate Performance. Cristian is the corporate secretary of Connect Legal, a Toronto registered charity that provides pro bono commercial legal assistance to low-resource immigrant entrepreneurs. He is also a contributor to the Canadian M&A Perspectives blog.View This guys profile on LinkedIn

 

Michael Nicholas’ practice is devoted to securities law matters generally, with an emphasis on registration or licensing matters; dealer, adviser, investment fund manager, market intermediary and marketplace regulation; related compliance and enforcement matters; transaction and litigation support; the regulation and implementation of derivative transactions; the development of new financial products and trading strategies, including monetization transactions, issuer put options, block trades and accelerated share repurchases; and the regulation, development, restructuring, termination and unwinding of collective investment vehicles, including mutual funds and hedge funds. Michael is a co-author of CCH’s Canadian Securities Regulatory Requirements Applicable to Non-Resident Broker-Dealers, Advisers and Investment Fund Managers, a handbook of Canadian securities regulatory requirements for non-resident securities firms published in 2012.View This guys profile on LinkedIn

Andrew Parker’s practice focuses on corporate and securities law in general, including corporate finance (both domestic and cross-border), M&A, collective investment vehicles, and registration and licensing matters. He is involved in both public and private offerings for issuers, investors and underwriters, with extensive experience in debt capital markets transactions. His experience also includes advising on numerous cross-border private placements and public and private M&A transactions.View This guys profile on LinkedIn

Sean Sadler has been primarily engaged in a securities trading and adviser regulation practice, with particular emphasis on advising Canadian and non-resident dealers and advisers on the offering of their services in Canada, including structuring and regulation of collective investment vehicles and the public and private offering of investment products and securities, retail mutual funds, institutional pooled funds, hedge funds, closed-end funds, separately managed accounts, wrap accounts, wealth management services, family offices and registered education savings plans. He also represents registrants in connection with securities compliance and enforcement matters. Sean is the co-editor of CCH’s Annotated Ontario Securities Legislation and co-author of CCH’s Canadian Securities Regulatory Requirements Applicable to Non-Resident Broker-Dealers, Advisers and Investment Fund Managers.View This guys profile on LinkedIn

René Sorell has had responsibility for projects in all aspects of securities law, including securities offerings, contested takeover bids, proxy battles and shareholder disputes, public company mergers and reorganizations, the formation of equity and fixed income marketplaces and the representation of clients in regulatory proceedings before securities regulators. He has acted as counsel to special committees of public company boards of directors. He regularly advises investment dealers and other securities businesses on trading rules, trading systems, compliance and discipline matters and new products. René has frequently presented cases before the Ontario Securities Commission on matters involving both securities and commodity futures legislation. He acted as chair of the Policy Advisory Committee of the Ontario Securities Commission and as a member of the senior securities law advisory committee to the Ontario Securities Commission and the industry committee of the Commission’s Fair Dealing project. René has served on the firm’s Board of Partners.View This guys profile on LinkedIn

Sonia Struthers’ practice focuses on capital markets, M&A, and securities regulation and investment products. Sonia counsels public companies and financial institutions in the areas of corporate finance, reorganizations, mergers and acquisitions, governance and compliance. She also advises securities dealers and advisors and investment fund managers as well as clearing houses and other regulated entities in the areas of securities regulation and investment products with an emphasis on financial products such as collective investment vehicles, structured debt offerings and trading and clearing services. Sonia has lectured on securities law at the Faculty of Law of l’Université Laval and at the Directors College of McMaster University’s De Groote School of Business.View This guys profile on LinkedIn