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Securities Regulation › Securities Act › Ontario

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Go-To: Dealer Business Trigger for Serial LP Issuers Clarified by Ontario’s Capital Markets Tribunal

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Under Canadian securities law, the requirement to register as a dealer is triggered by trading securities for a business purpose. One of the uncertainties under the “business trigger” test and associated guidance is whether...more

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Selective Disclosure in the “Necessary Course of Business”: New Guidance from Ontario’s Capital Markets Tribunal

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In Kraft (Re), 2023 ONCMT 36 (“Kraft”), a recent decision of Ontario’s Capital Markets Tribunal (the “Tribunal”), the panel considered the meaning of the “necessary course of business” (“NCOB”) exception to the general...more

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