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Goodmans Update: Corporate Securities ( October 2005 )
A panel of the Ontario Securities Commission has recently released its unanimous decision in dismissing allegations by OSC Staff of insider trading by Kwok Yuen Ho, the Chairman and Chief Executive Officer of ATI Technologies Inc., and his wife Betty. Three issues that were discussed by the OSC in the ATI decision are relevant to corporate insiders and are worth reviewing. -
Trends in the Canadian Mining Sector ( June 2005 )
Worldwide exploration budgets rose to $3.5 billion in 2003, up 13% from 2002. The main recipients of increased exploration spending by companies were: Canada ($170 million); South Africa ($90 million); Mexico ($30 million); and Ghana, the United States and Venezuela, ($20 million each). -
Proactive Planning Key to Effective Disclosure Controls and Procedures ( July 2004 )
Over the past year, clients have repeatedly posed questions about the disclosure controls and procedures they are now required to maintain as mandated by Sarbanes-Oxley. Based on the number and types of questions posed, an overview of disclosure controls and procedures is among the most useful tools an attorney can provide a client in that regard. -
SEC Adopts Final Rules Expanding Form 8-K Disclosure Requirements and Accelerating Filing Deadlines ( March 2004 )
On March 16, 2004, the Securities and Exchange Commission (SEC) adopted amendments to Form 8-K designed to provide investors with better and faster disclosure of important corporate events. The amendments have been adopted in furtherance of the "real time issuer disclosure" mandate of Section 409 of the Sarbanes-Oxley Act of 2002. -
SEC Issues Final Rules Implementing Section 306(a) of the Sarbanes-Oxley Act of 2002: Insider Trades During Pension Fund Blackout Periods ( February 2003 )
The Securities and Exchange Commission has adopted final rules implementing Section 306(a) of the Sarbanes-Oxley Act of 2002 ("Insider Trades During Pension Fund Blackout Periods"), which prohibits directors and executive officers of an issuer from trading in the issuer's equity securities acquired in connection with [his or her] service during a pension plan "blackout period". -
The Sarbanes-Oxley Act of 2002 ( February 2003 )
President Bush signed into law the sweeping legislation known as the Sarbanes-Oxley Act of 2002 on July 30, 2002. The bill passed by the House (422-3) and Senate (99-0) on July 25 provides that it is "designed to protect investors by improving the accuracy and reliability of corporate disclosures made pursuant to the securities laws and for other purposes." -
SEC Adopts Final Rules Relating to Disclosure of Off-Balance Sheet Arrangements and Aggregate Contractual Obligations ( February 2003 )
The SEC has adopted new rules regulating the disclosure of off-balance sheet arrangements and aggregate contractual obligations. These rules were directed by new Section 13(j) of the Exchange Act, added by Section 401(a) of the Sarbanes-Oxley Act of 2002.
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