Securities Fundamentals: Private Placements 2014

Course Date: November 18, 2014

Total: 4h 53min

Welcome and Introduction

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

Exempt Distributions: A Primer

  • the corporate and securities law web

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

Subscription Agreements

  • how to structure the agreement
  • what representations and warranties to include and why
  • what pitfalls to avoid

Candice Mordy — Boughton Law Corporation, Vancouver
Katherine H. Tang — Boughton Law Corporation, Vancouver

Networking Break

TSX and TSX Venture Exchange: Facilitating Exchange Review and Acceptance

  • pricing rules
  • shareholder approval
  • limitations on commissions/finder’s fees
  • principal disclosure requirements
  • filing tips and best practices

Chris Birkett, CA — Senior Manager, Listed Issuer Services, Toronto Stock Exchange, Vancouver
Zafar Khan — Policy Counsel, TSX Venture Exchange, Vancouver

Trust Accounts

  • best practices for handling funds coming in and out of trust
  • cash transactions—what you can and can’t accept
  • Law Society requirements for electronics funds transfers
  • dealing with time sensitive transactions

Felicia Ciolfitto — Manager, Trust Regulation, Law Society of BC, Vancouver


BC Securities Commission Update

  • tips on using the new existing security holder exemption
  • update on proposed changes to other prospectus exemptions
  • common pitfalls and how to avoid them

Larissa M. Streu — Senior Legal Counsel, Corporate Finance, BC Securities Commission, Vancouver

US Private Placement

  • overview of most common U.S. exemptions

Daniel M. Miller — Dorsey & Whitney LLP, Vancouver

Networking Break

The "How To" Guide to Smooth Closings

  • the anatomy of an agency or underwriting agreement
  • the in's and out's of warrant indentures
  • closing mechanics, including electronic settlement

Nicole Clement — General Manager, Corporate Trust, Computershare, Vancouver
Dwight D. Dee — Miller Thomson LLP, Vancouver
Lucy H. Schilling — DuMoulin Black LLP, Vancouver

Closing Questions and Comments