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Canadian Securities Regulation, 4th Edition

In one of Canada 's foremost treatises on the subject, experts Professor David Johnston and Kathleen Doyle Rockwell provide an authoritative exploration of the Canadian securities system, its historical underpinnings and the practical ramifications of its administration and enforcement.



Publisher: LexisNexis Canada
Country: Canada
Format: Hardcover Book
Publication Language: English
ISBN: 9780433450986
Publication Date: 2006-10-31
 
Price: $230.00
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    Canadian Securities Regulation, provides an authoritative exploration of the Canadian securities system, its historical underpinnings and the practical ramifications of its administration and enforcement.

    In one of Canada's foremost treatises on the subject, experts Professor David Johnston and Kathleen Doyle Rockwell lay out:

    • Protections available to investors,
    • Duties and responsibilities of issuers and registrants
    • Mechanisms available to enforce rights under the regime
    • Effective defenses against legal challenges under the securities rubric

    Learn About

    • Key concepts including "security", "trade" and "distribution"
    • Shifting emphasis from prospectus disclosure towards continuous disclosure
    • The continuing pursuit of a national securities commission
    • The birth of the harmonized passport regime
    • Insider trading, take-over bids, statutory civil liability, and class actions
    • The internet and securities

    New in This Edition

    • New securities options including Viatical Settlements, Income Trusts, and Hedge Funds
    • Important recent cases, including Re Cartaway Resources Corp., Kerr v. Danier Leather Inc. and Re YBM Magnex International Inc.;
    • New Securities Commission decisions, covering concerns such as disclosure, bias and Charter issues
    • Expanded discussion of investigations, hearings, disclosure, reviews and appeals, independence, impartiality and the Charter
    • The revision of prospectus and continuous disclosure requirements
    • Revisions to the exemptions regime
    • Expanded enforcement section including increased coverage of illegal distributions, misrepresentation and fraud
    • New chapter devoted to Corporate Governance provided by Andrew Grossman

    Chapter 1: Philosophy of Securities Regulation
    Chapter 2: History of Securities Regulation
    Chapter 3: Scope of Securities Regulation
    Chapter 4: Machinery
    Chapter 5: Distribution
    Chapter 6: The Prospectus
    Chapter 7: Continuous Disclosure
    Chapter 8: Distribution Exemptions
    Chapter 9: Insider Trading
    Chapter 10: Take-over Bids
    Chapter 11: Statutory Civil Liability and Class Actions
    Chapter 12: The Licence — Registration of Persons
    Chapter 13: Enforcement
    Chapter 14: Self-Regulation
    Chapter 15: Investment Funds
    Chapter 16: Problems in the Current Canadian Regulatory System
    Chapter 17: National Commission or Increased Coordination
    Chapter 18: International Issues and Developments
    Chapter 19: Securities Regulation and the Internet
    Chapter 20: The Exchanges
    Chapter 21: Corporate Governance
    Appendix A: The Bennett/Doman Insider Trading Saga
    Appendix B: Definitions of “Security”
    Appendix C: Bre-X Minerals
    Index

     

    David Johnston, C.C. & Kathleen Doyle Rockwell, B.Comm., LL.B., LL.M.


    David Johnston has a B.A. from Harvard, an LL.B. from Cambridge and an LL.B. from Queen’s University here in Canada. He has been awarded honorary doctorates from twelve universities. He was dean of the University of Western Ontario faculty of law in 1974, Principal of McGill University from 1979 to 1994, and is currently the President of the University of Waterloo. He is a Companion of the Order of Canada.

    Kathleen Doyle Rockwell has a B.Comm. (Honours) and an LL.B. from the University of British Columbia. After practising securities law with a major Canadian law firm, she left to obtain an LL.M. from McGill University. She then worked as Legal Counsel at the Court of Queen's Bench in Calgary for several years. She is now with the Alberta Securities Commission as Legal Counsel to the Vice-Chairs, where her work includes conducting research and providing advice on securities law, administrative law and procedural matters.

    Andrew Grossman has an L.L.B. and B.C.L. from McGill University and a B.A. from Concordia University. He practises corporate and securities law, with a focus on mergers and acquisitions and corporate finance at Stikeman Elliott LLP in Toronto. He is also the Co-Editor in Chief of the Corporate Governance Report, published quarterly by LexisNexis Butterworth.

     

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