Index

• Author: Christopher Nicholls
• Pages: 505-518

505

INDEX

Accredited investor, 68–69, 160, 201,

202–9. See also Exempt purchasers

Administrative enforcement, 434–50. See

also Enforcement of securities law

administrative penalties, 437–39

bias, perception of, 463–64

Canada and US compared, 450, 459,

464–66

cease trade orders, 435, 446–47

compensation orders, 447–48

costs, order for, 437, 457

enforcement of decisions, 450

interim property preservation orders,

453

investigations and examinations, 452–57

judicial review, 448–50

limitation period, 452

overview, 434–36

person or company, 439–41

preventive vs remedial, 437–39

public interest power, 336, 434–36,

444–45

punitive vs remedial, 437–39

reciprocal orders, 457–58

scope of orders, 441–43

secondary proceedings, 458

standing, 444, 451

Administrative tribunals. See Securities

commissions

Advisors, 109. See also Securities f‌irms

exempt purchaser status, 205

know-your-client rules, 119–20

know-your-product rules, 121–22

proposed regulatory reforms, 475–80

best interest standard, 121, 475–80

registration requirements, 113–14

f‌irm subcategories, 116–17

individual categories, 117

relationship disclosure, 122–23

suitability rules, 120–21

AIF. See Annual Information Form

Allen Committee Report, 344–45

Amalgamations, 214–15, 248. See also

Business combinations

amalgamation squeeze, 419

Analysts. See Financial analysts

Annual Information Form, 184–85,

309–10

Automatic securities purchase plans,

272–73

Backdoor listings, 191–93

Backdoor underwriting, 72–73, 198, 233,

236

when little danger of, 234–35, 247–49

Behavioural f‌inance, 480–82

Benef‌icial owners, 322–23

Best-efforts underwriting, 150