Current Trends in Prospectus Filings: What SME issuers need to know

This seminar will review common issues and errors that arise in the context of prospectus filings under National Instrument 41-101 General Prospectus Requirements (NI 41-101), National Instrument 44-101 Short Form Prospectus Distributions (NI 44-101) and National Instrument 44-102 Shelf Distributions (NI 44-102), as well as several hot topics, including:

• General Overview of Types of Prospectuses and Offerings
• Prospectus Filing and Review Process
• Prospectus Procedural Requirements, Timing and Fees
• Hot Buttons in Prospectus Reviews
  • Financial condition and sufficiency of proceeds
  • Mining issues
  • M&A matters (e.g., dual-share structures)
• Reverse Take-overs
• Syndicated Mortgages
• Reducing regulatory burden initiatives affecting the prospectus process

Who should attend:

• General counsel of SME reporting issuers
• CEOs and CFOs of SMEs
• Directors of SMEs
• Legal counsel and other external advisors to SMEs

Why You Should Attend:

• To learn more about the requirements of NI 41-101, NI 44-101 and NI 44-102 when filing a prospectus
• To understand certain specific disclosure requirements and common disclosure errors
• To hear directly from OSC staff on timely topics
• Individuals and advisors of private companies considering going public may wish to attend to learn about disclosure requirements for an initial public offering prospectus

Register now