Examples of 'securities legislation' in a sentence
Meaning of "securities legislation"
securities legislation": "This phrase refers to the laws and regulations that govern the issuance, trading, and sale of securities, such as stocks, bonds, and other financial instruments. Securities legislation is designed to protect investors and ensure fair and transparent financial markets. It includes rules and requirements related to disclosure of information, registration of securities offerings, market conduct, and enforcement of securities laws. These laws may vary by country or jurisdiction.
How to use "securities legislation" in a sentence
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securities legislation
Both are registered under the securities legislation.
Securities legislation in all provinces prohibits such distribution.
The overriding objective of securities legislation is the protection of the investor.
Securities legislation requires annual disclosure of loans to executives.
Insider trading liability provisions are also found in provincial securities legislation.
Provincial securities legislation allows provincial securities commissions broad discretion and scope to develop binding instruments.
Grafton breached his duties to clients under the securities legislation.
We administer and enforce securities legislation in the Province of Ontario.
The corporation is not subject to an exemption or an order under provincial securities legislation.
The federal government could unilaterally enact securities legislation and create a securities commission.
A distributing corporation is a public corporation that is a reporting issuer under provincial securities legislation.
Canadian provinces began passing their own securities legislation shortly afterwards.
Securities purchased by the Partnership will be subject to resale restrictions under applicable securities legislation.
The ECB welcomes the aim of bringing European securities legislation in line with IOSCO standards.
Local Rules should not be permitted to change the substantive provisions of securities legislation.
See also
The CBCA and securities legislation require the Corporation to have an Audit Committee.
The essential idea underlying company law and securities legislation would be jeopardised.
CI provides portfolio management and investment advisory services as a registered adviser under applicable securities legislation.
The applicable securities legislation for opening an account ;.
Within the meaning of the applicable Canadian securities legislation.
Common securities legislation and rules, which continues to recognize local needs ;.
Prepare ongoing disclosure reports and documents under securities legislation and proceed with filing.
Securities legislation in Canada essentially provides three ways of distributing securities,.
It will advise the Commission on the technical details of securities legislation.
For more information, refer to the securities legislation of your province or consult your lawyer.
These principal distributors are affiliates of the Manager within the meaning of applicable securities legislation.
Securities legislation are expansive and, in some cases, overlapping.
You bear the ultimate responsibility for complying with Securities Legislation.
Securities legislation is recorded, processed, summarized and reported within.
The Acquisition constitutes a significant acquisition for the REIT under securities legislation in Canada.
Expertise required under Canadian securities legislation and regulations ( e.g. financial literacy ), and / or.
The Placement Units will be subject to a statutory hold period pursuant to Canadian securities legislation.
The SROs do not have the ability to administer securities legislation or the Criminal Code… ".
A non-distributing corporation is a private corporation that is not a reporting issuer under any provincial securities legislation.
Harmonization and diversity Despite national instruments and current initiatives, securities legislation is not completely harmonized.
Forward- -looking information" or "forward- -looking statements" within the meaning of applicable Canadian securities legislation.
The Sarbanes-Oxley Act of 2002 is the most important federal securities legislation since the New Deal.
Multi-jurisdictional issuers would generally only need to comply with a single piece of securities legislation.
O The corporation 's securities be distributed only to persons described in securities legislation or regulations.
O 2.02 The definition seeks to largely harmonize the CBCA with provincial securities legislation.
This subsequent step is the subject matter of the Uniform Securities Legislation ( USL ) project.
This letter includes forward-looking statements, as defined by applicable securities legislation.
For brief periods, the provinces have tried to harmonize securities legislation.
Part 12 modifies some aspects of the defences available under current securities legislation.
Other ' Know Your Client ' Information, as defined under applicable securities legislation.
Before December 7, 1996 with a public authority in Canada in accordance with securities legislation of a province.
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