The Compliance Connection Newsletter May 2019

14 05 2019

The latest edition of our newsletter is out. In this issue, you will find information and tips including:

  • SEDI Filing Tip: Reporting Changes of Ownership
  • Directors’ Alert: Taking the Long-Term View
  • Continuous Disclosure Filing Calendar
  • What happens if you aren’t promoting your whistleblowing program?
  • Is your newswire service the best fit for you?
  • What We’re Reading

You can view the newsletter HERE.

Managing a Public Company

13 05 2019

If you or someone in your organization is new to managing a public company, you might be interested in attending the next session of the TMX Learning Academy’s two-day workshop Managing a Public Company. The topics to be covered include:

  • Corporate governance
  • Basic securities law
  • Shareholder communications
  • Insider obligations
  • Financial reporting
  • Continuous disclosure requirements

The sessions are being offered in Calgary and Vancouver in June and September respectively and you can find more information and register HERE.

OSC Roundtable on Reducing Regulatory Burden – Online Registration

25 03 2019

The Ontario Securities Commission (“OSC”) is hosting a roundtable to discuss how to reduce unnecessary rules and processes while continuing to protect investors.  In our previous post, we mentioned that you would be able to attend by webinar or teleconference and registration for those options are now available HERE.

CPA’s Enhancing Management’s Discussion & Analysis

19 03 2019

The Chartered Professional Accountants (CPA) of Canada has published Enhancing Management’s Discussion & Analysis (MD&A) which is a summary document providing guidance to companies who want to explore going beyond what is necessary to satisfy existing regulatory requirements. It includes ideas and concepts intended to maximize the usefulness of MD&A disclosure including the following six principals:

Principle 1: Through the Eyes of Management

Principle 2: Integration with Financial Statements

Principle 3: Completeness and Materiality

Principle 4: Forward-Looking Orientation

Principle 5: Strategic Perspective

Principle 6: Usefulness

If your team is considering enhancing its MD&A disclosure or if you are just curious about the principals addressed in this guidance you can download your copy HERE.

OSC Roundtable on Reducing Regulatory Burden

11 03 2019

The Ontario Securities Commission (“OSC”) is hosting a roundtable to discuss how to reduce unnecessary rules and processes while continuing to protect investors. The in-person registration link for the March 27th session is now live and can be found HERE. Registration for the webcast and teleconference will be open on March 20th – we’ll be sure to post that information here on our blog so those outside of the Toronto area can attend as well.



Deloitte Directors’ Alert:2019

25 02 2019

Deloitte has posted to their website the 2019 edition of Directors’ Alert, “Taking the Long-Term View” which highlights how boards can apply a long-term lens to their oversight role in an age of disruption and uncertainty including:

  • Recognizing how industry 4.0 will impact the long term
  • Identifying how organizations can better engage with investors – and activists
  • Understanding how organizations can re-imagine their ESG impacts
  • Navigating tax strategy in a digital and complex world

You can download the complete document HERE.

OSC Hot Topics in Continuous Disclosure: What SME Issuers Need to Know

22 01 2019

The Ontario Securities Commission (“OSC”) has posted the video presentation Hot Topics in Continuous Disclosure: What SME Issuers Need to Know to their website. This presentation covers a variety of continuous disclosure topics, including management’s discussion and analysis (“MDA”) issues, mergers and acquisitions matters (e.g., related party transactions), reducing regulatory burden initiatives affecting continuous disclosure, whistleblowing and more.

This presentation will be useful to you if you are a public company CFO, in-house or external legal counsel, an advisor to public companies or if you assist in preparing the financial statements and MD&A.

You can play the archived presentation HERE.