Home -> Law Blog Directory -> Corporate & Securities Law Blogs -> Jim Hamilton's World of Securities Regulation

OR PHONE (866) 635-1838 for Bankruptcy Help, (866) 635-6190 for Divorce,
(866) 635-2689 for Personal Injury or (866) 635-9402 for Criminal Defense

Find a Local Lawyer

Bankruptcy (866) 635-1838
Divorce (866) 635-6190
Personal Injury (866) 635-2689
Criminal Defense (866) 635-9402

Corporate & Securities Law

: Jim Hamilton's World of Securities Regulation

Canada Overhauls Its Dealer and Adviser Registration/Exemption Rules

By Jay Fishman

ADVERTISEMENTS

The Canada Securities Administrators (CSA) have proposed amendments to a rule adopted February, 2007 that overhauled registration and exemption provisions for Canadian dealers, investment advisers and investment fund managers. The new round of proposals published February 29, 2008 will continue to pertain directly to Canadian dealers, investment advisers and investment fund managers but will also impact non-Canadian dealers, investment advisers and investment fund managers doing business in Canada on a registered or exempt basis, by affecting a number of capital market activities that include private placements, public and private fund offerings, and advisory activities.

Please see the following website for how the 2007 rule affects limited market dealers, investment fund managers, dealers registered in Ontario and non-Canadian investment funds, and for summaries of the proposals affecting non-Canadian dealers and investment advisers:

http://www.stikeman.com/ (Stikeman Elliot law firm)

Public comments on the proposals will be accepted until May 29, 2008.

Full post as published by Jim Hamilton's World of Securities Regulation on March 13, 2008 (boomark / email).