Securities Fundamentals 2019


Course Date: November 21, 2019

Full Course Materials
Total: 5h 47min
Total Ethics: 1h 3min

Welcome and Land Acknowledgement

Lucy H. SchillingMiller Thomson LLP, Vancouver

Handling Funds and Practice Points

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

Tina Kaminski, CPA, CGA, CFE, CAMS Audit Team Leader, Law Society of BC, Vancouver

Governance—Board and Management

  • appointment of officers and committees
  • equity compensation
  • board composition
  • governance documents

Lucy H. SchillingMiller Thomson LLP, Vancouver

Break

Listing on the TSX and TSX-Venture

  • listing requirements
  • tips, tricks, and best practices

David Babstock Senior Manager, Listed Issuer Services, Toronto Stock Exchange, Vancouver
Jonathan Hudolin
Senior Manager, Capital Formation, TSX Venture Exchange, Vancouver

Networking Lunch (Provided)

Listing on the Canadian Securities Exchange (CSE)

  • differences between the CSE and the TSX/TSXV
  • listing requirements
  • tips, tricks, and best practices

Mark Faulkner Vice President, Listings & Regulation, Canadian Securities Exchange, Toronto

Pre-Public Financing

  • exemptionshow to use them and nuances
  • pricing
  • escrow agreements

Kathleen Keilty Blake, Cassels & Graydon LLP, Vancouver
Trevor Simpson Blake, Cassels & Graydon LLP, Vancouver

Break

Ways to Go Public

  • initial public offerings ("IPO")
  • non-offering prospectuses
  • reverse takeovers ("RTO")
  • capital pool company ("CPC"/QT)

Larissa M. Streu Senior Legal Counsel, Corporate Finance, BC Securities Commission, Vancouver
Kathy Tang — Miller Thomson LLP, Vancouver

Living as a Public Company

  • new way of thinkingbeing a reporting issuer
  • continuous disclosure obligations
  • trading halts, insider trading/tipping, liability
  • corporate governance

Julie Bogle Borden Ladner Gervais LLP, Vancouver
Melanie Bradley
Borden Ladner Gervais LLP, Vancouver

Closing Remarks