Index

• Author: Christopher C. Nicholls
• Profession: Faculty of Law, Western University
• Pages: 589-605

589

INDEX

Access equa ls delivery, 428–29

Accredited inve stor, 101–2, 197, 250,

251–58 . See also Exempt purchaser s

corporation s owned by accreditor

investor, 258

designated i nvestors, 253, 257–58

governments, 253

income or asset te st, 254–57

investment fu nds, 254

registered charitie s, 254

registered de alers or advisors, 253–54

trusts , 258

Adminis trative enforcement, 517–38. See

also Enforcement of sec urities law

adminis trative penalties, 515, 518–19,

520–2 3

bias, percept ion of, 123

Canada and US c ompared, 537–38,

549–5 0, 554–57

cease tra de orders, 519, 530, 532–34

compensat ion orders, 519, 534

costs, order for, 520, 546

discretion , 519

enforcement of decisions, 537

interim property preservation orders,

541

investigations and examinations,

541– 4 6

judicial rev iew, 519–20, 534–37

limitat ion period, 540

overview, 517–20

person or company, 519, 523–24

preventive vs remed ial, 518–19,

520–2 3

public interest ju risdiction, 125–26,

40 0, 517– 20

scope of orders, 519, 525–28

trigger s, 519, 530–32

punitive vs remed ial, 518–19, 520–23

reciprocal orders, 547

regulation by e nforcement, 557

secondary p roceedings, 547–48

standing, 519, 528–29, 539

Administrative tribunals. See Securities

commissions

Advis ors, 153–54. See also Securities

f‌irms

best interes t standard, 167–73

exempt purchas er status, 253–54

know-your-client rule s, 164–65

know-your-product rules, 173–74

registration requirements, 158 –59

f‌irm subcat egories, 162

individua l categories, 162

relationship d isclosure, 174–75

suitabilit y rules, 166–73

underw riting f‌ir ms, 153

AI F. See Annual In formation Form

SECU RITIE S LAW590

Ainsley c ase , 142, 14 5–4 6

Allen Committee Repor t, 410– 11

Alternati ve trading systems, 130, 133

Amalgam ations, 264, 303–4. See also

Business combinations

amalgamation squeeze, 500–1

Analysts. See Financial analysts

Annual Infor mation Form, 229–30, 367,

371–72

prospectus-type disclosure, 371–72

At-the-market (ATM) oerings, 232–33

ATS. See A lternative tradi ng systems

Automatic secur ities purchase plan s,

329–3 0

Backdoor list ings, 239–41

Backdoor under writing, 106–7, 246–47,

28 8, 291

when little dan ger of, 289, 303–4

Behavioural f‌inance, 563–65

Benef‌icial owne rs, 384–87

Best-eort s underwriti ng, 186

Best intere st standard, 167–73

Bias, 123

Bids

circulars. See Information cir culars

insider bids. See In sider bids

take-over bids . See Take-over bids

Bitcoin, 578

Blanket orders or r ulings, 142–44

Blue Sky laws, 37–40

merit review, 39, 41, 205, 431

Bondholders. See Debtholders

Bonds. See Securities

Bought deal, 187–88, 198

no market-out clause, 191, 192

Brokers, 153. See al so Securities f‌irms

dealers, distinguished, 153

Burden of proof, 417

Business combinations, 495–508. See

also Going-private transactions

amalgamations. See Amalgamations

def‌inition, 4 99–500

illustration, 500–1

insider tra ding. See Insider trading

reorganizations. See Reorga nizations

requirements, 501–8

formal valu ation, 505–8

informat ion circular, 504–5

majority of the m inority approval,

501– 4

meeting, 504

Business t rigger, 156–58, 243

Canadian Char ter of Rights and Freedoms,

541– 42

Canadi an Depository for Secur ities

Limited, 385

Canadian Securities Administrators, 145

sta notices, 147

Capital market s, 1–22

exempt market tr ansactions, 107

gatekeepers, 154

industry profess ionals. See Securities

f‌irms

insider tra ding. See Insider trading

primar y market transaction s, 7–8

purpose, 3–6

net savers and net use rs, 4–6

private sector, 4

public sector, 3–4

regulation. See Securities regulation

secondary m arket transactions , 8,

184– 85, 246– 48

Capital Market s Tribunal, 122, 124,

126. See also Ontar io Securities

Commission

appeals from , 129–30

enforcement proceedings, 515, 517–46

exchange ru lings, review, 133

judicial rev iew standard, 126–30

Capital pool compa nies, 238–39

Capture theor y, 110

CCO. See Chie f compliance ocer

CCMR. See Coop erative capital markets

regulatory system

Cease tr ade orders, 519, 530, 532–34

Certif‌ication requirements

periodic d isclosures, 372–75

prospectus, 2 04

Charities. See Not-for-prof‌it entities

Chief compliance oc er, 162–63. See

also Securities f‌irms

Circulars. See Information circ ulars

Civil court pro ceedings, 538–4 0

continuous dis closure misrepresent a-

tions, 406–23

common law remedie s, 406–9

statutory civil liability, 409–23