Overview

Canadian securities law consists of an enduring core of fundamental principles that are refined, and sometimes shrouded, by a complex and constantly evolving body of technical details. This third edition, written by Christopher Nicholls — one of Canada’s foremost corporate and securities law experts — provides a solid grounding in the core securities law principles and helps the reader navigate the complex labyrinth of modern securities regulation. Securities Law surveys the essential building blocks of securities regulation: basic definitions, the public and exempt markets for securities, insider trading, continuous disclosure, enforcement, regulation of dealers and other securities industry professionals, and take-over and issuer bids. Discussion of these subjects is interwoven with thoughtful consideration of larger public policy issues. This book also explores the history of securities regulation and several recent topics, including, among others, the stalled initiatives aimed at trying to create a national cooperative capital market regulatory system in Canada; developments affecting dealers, including the recent consolidation of Canada’s two national securities industry self-regulatory organizations; the impact of the 2021 Capital Markets Modernization Taskforce Report; the changes introduced in Ontario by the Securities Commission Act, 2021; and the ongoing challenges posed by increasing shareholder activism and technological advances, including the regulatory challenges posed by cryptocurrencies and other digital assets.

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9781552216873

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Christopher C Nicholls is a Professor of Law at Western University's Faculty of Law where he is the inaugural holder of the W Geoff Beattie Chair in Corporate Law, and a 2013 recipient of a Western University Faculty Scholar Award. Before coming to Western University in 2006, Professor Nicholls was a member of the faculty of the Dalhousie University Faculty of Law (now the Schulich School of Law at Dalhousie University) where he was the inaugural holder of the Purdy Crawford Chair in Business Law. Prior to beginning his academic career, he practised corporate and securities law in Toronto and in Hamilton, Bermuda. Professor Nicholls has been a Fulbright Scholar and Visiting Professor of Law at the Harvard Law School, a Herbert Smith Visitor at the University of Cambridge, a Visiting Scholar at Melbourne Law School, a Visiting Research Scholar at the University of Tokyo, and the Falconbridge Visiting Professor of Commercial Law at Osgoode Hall Law School. He has also been a visiting professor at the law faculties of Queen's University and the University of Toronto. He has acted as a consultant to private law firms, government and regulatory agencies, and has lectured to academic and professional audiences in Canada, the United States, the United Kingdom, Australia, South America, and Japan. He has previously served as a Member (Commissioner) of the Nova Scotia Securities Commission, as Head of Research and Policy for the Capital Markets Institute, Rotman School of Management, University of Toronto, and as a Research Fellow for the Filene Research Institute, Madison, Wisconsin. He is currently Chair of the Board of Directors of the Mutual Fund Dealers Association of Canada, a director of Western University's Centre for Financial Innovation and Risk Management and a Member of the Editorial Advisory Board of the Canadian Business Law Journal. He is the author of numerous articles in the fields of corporate law and governance and financial law and regulation, as well as five other books on these and related subjects (one as co-author), including Mergers, Acquisitions and Other Changes of Corporate Control, 2d ed (Toronto: Irwin, 2012).

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