Finance & Security Law

Finance & Security Law

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Finance & Security Law

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An investment in a business is called security. It comes in the form of shares of stock, bonds or a package of loans. When you start up a venture, you do some financial transactions. It requires the issuance of securities. These securities are needed to be registered under federal and state laws. The Canadian securities regulation is manged through laws and agencies established by thirteen provincial and territorial governments of Canada.

There is a securities commission in each province and territory. Each has equivalent authority over tis respective province or territory.

However, there is no a securities regulatory authority at the federal government level. The regulatory authority began to establish provincial government in 1912 in Manitoba. Later the privy council decided in Lymburn and Mayland in 1932. Most legislations of it come under the provincial property and civil rights power.

Consequently, there is a passport system which operates majority of provincial security commissions. But the largest capital market of Canada, Ontario does not participate in the passport regime. The government of Canada is trying to establish a national securities regulatory system for providing better and more consistent protection for investors across Canada. Today, there is securities regulator in each province. Each regulator is either self-funded or funded by any larger government department. These regulators administer finance and security laws of province. They also disseminate their own set of rules and regulations.

Ideally, two organisations i.e. Investment Industry Regulatory Organisation of Canada (IIROC) and Mutual Fund Dealers Association (MFDA) research and work out for the most of finance and securities laws.

All provincial and territorial regulators work in tandem with the Canadian capital markets through the CSA (Canadian Securities Administrators) for developing uniform rules and regulations in the finance and security markets. The Canadian Securities Administrators also implement the passport system to get permission for participating in capital markets activity of Canada. The business-friendly jurisdiction of Canada offers a wide array of business doing where markets offer both mature debt and equity capital markets which are accessible to any business needs. A number of enticing incentive schemes are being used to increase investment in small and medium sized enterprises. In fact, there are finance and Security lawyers working to deal with all the legal issues and disputes involved or entangled in mergers and acquisitions. They provide strategic legal and business advice in all principal areas of corporate financing, banking, bankruptcy, insolvency and various others opportunities in the marketplace.

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Parmvir Kahlon

B.A., LL.B. (HONS) | Barrister & Solicitor
(905) 671-9244

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