Securities Fundamentals 2019
Course Date: November 21, 2019
Total: 5h 44min
Total Ethics: 1h 3min
Course Date: November 21, 2019
Welcome and Land Acknowledgement
Lucy H. Schilling — Miller Thomson LLP, Vancouver
Handling Funds and Practice Points
- best practices for handling funds coming in and out of trust
- cash transactions—what 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. Schilling — Miller 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
- exemptions—how 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 thinking—being 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
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Paper: Capitalization Table
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Slides: Toronto Stock Exchange and TSX Venture Exchange Listing Requirements
Handout: Listing Requirements for Industrial, Technology, and Research & Development Companies
Handout: Listing Requirements for Mining Companies
Handout: Listing Requirements for Oil and Gas (Exploration and Producing) Companies
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