Securities Fundamentals

Product Type: Course Materials - Print

ISBN: 978-1-55258-783-6

Pages: 81

Price: $115.00

DescriptionMore DetailContributors

This book is essential for: lawyers within their first year or two of experience with securities law and wanting some context and an overall primer.

Current to: March 2012

A primer
This practical publication follows the process from initial considerations all the way through to a listed company. These materials will provide you with the basic framework of information that you need to understand in order to function within this area of practice. Topics covered are: overview of securities regulation in BC, IPO by prospectus, TSX Venture Exchange—listing requirements, and continuous disclosure obligations.

Course Materials Coordinator
Geoffrey M. Sherrott — Edwards, Kenny & Bray LLP, Vancouver

CLEBC Program Lawyer
Wendy McLean
wmclean@cle.bc.ca

CONTENTS

overview of securities regulation in BC: registration, the prospectus requirement, the continuous disclosure requirements
IPO by prospectus
TSX Venture Exchange—listing requirements: order form for TSXV bulletins, checklist for submitting a geological report to TSX venture exchange, common filing errors, private placements FAQ, incentive stock options FAQ, guidelines related to the interpretation and application of TSXV's capital structure and founder shares requirements
continuous disclosure obligations: sources of the requirements, the duty to disclose, confidential disclosure, to whom the duty applies, the timeliness and accuracy of disclosure, sanctions for failure to disclose or false disclosure

Role	Name
Course Materials Author	Zafar Khan
Course Materials Author	Dwight D. Dee
Course Materials Author	Linda J. Hogg
Course Materials Coordinator	Geoffrey M. Sherrott
Course Materials Author	Kathy Tang
Course Materials Author	Robert F. White

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