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Proposed Amendments Prospectus Securities Regulation

K&L Gates LLP

Investment Management Client Alert June 2025

K&L Gates LLP on

ESMA Publishes Final Report on the Preparation of Securities Prospectuses -On 12 June 2025, the European Securities and Markets Authority (ESMA) published its final report with regulatory technical standards (RTS) for the...more

Stikeman Elliott LLP

CSA Propose Amendments to Shelf Prospectus Regime for WKSIs

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On September 21, 2023, the Canadian Securities Administrators (“CSA”) announced proposed amendments to National Instrument 44-102 Shelf Distributions (“NI 44-102”) relating to well-known seasoned issuers ("WKSIs")as well as...more

Bennett Jones LLP

New Prospectus Exemption for Listed Issuers to Come Into Effect November 21, 2022

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The Canadian Securities Administrators (CSA) recently announced an amendment to National Instrument 45-106 Prospectus Exemptions (NI 45-106) that introduces a new prospectus exemption (the Listed Issuer Financing Exemption)...more

Stikeman Elliott LLP

CSA Propose Modernization of Prospectus Filing for Investment Funds

Stikeman Elliott LLP on

Proposed modernization of certain investment fund prospectus filing rules would extend lapse date to 24 months. CSA also considering introducing base shelf filing for all investment funds....more

Carlton Fields

SEC Proposes Changes to Fund Shareholder Reports, Prospectuses, SAIs, and Ads

Carlton Fields on

On August 5, the SEC proposed what it called “comprehensive modifications to the mutual fund … disclosure framework.” ...more

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