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Library of Parliament Publications: Business and Corporate Issues |
Canadian Response to the U.S. Sarbanes-Oxley Act of 2002: New Directions for Corporate Governance |
| Format | Stapled Pages | |
| Catalogue No. | PRB 05-37E | |
| Pages | 13 | |
| Language | English; Aussi disponible en français | |
| Price | $13.50 | |
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Written by Tara Gray. Published by the Library of Parliament, 2005. Description: |
| 4 October 2005 Sarbanes-Oxley introduced sweeping changes to the corporate governance and disclosure obligations of publicly traded companies on U.S. markets. The need to maintain compatibility and competitiveness with the United States has forced Canadian regulators to adopt similar provisions. In Canada, most new rules and regulations arising from the reforms came into force in mid-2005, with the remained to be phased in over the following few years. The paper provides an overview of the Sarbanes-Oxley Act of 2002, and an assessment of its effectiveness. The paper then examines the Canadian context and response to the U.S. legislation. |
Dual-class Share Structures and Best Practices in Corporate Governance |
| Format | Stapled Pages | |
| Catalogue No. | PRB 05-26E | |
| Pages | 13 | |
| Language | English; Aussi disponible en français | |
| Price | $13.50 | |
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Written by Tara Gray. Published by the Library of Parliament, 2005. Description: |
| 18 August 2005 While the regulation of securities in Canada has historically fallen under provinicial jurisdiction, some legal opinions have found that the federal government has the constitutional authority to pass comprehensive legislation regulating capital market activity within Canada. The profusion of provincial and territorial regulation has led many analysts to argue that the current structure of capital markets is unsustainable with the enactment of uniform securities laws across Canada. The debate is whether harmonization can be achieved through cooperation by provincial regulators or whether a more radical solution is necessary: the imposition of a single national securities regulator by the federal government. While this latter option is still under consideration, recent reform efforts have focused on working within the current system. This paper examines the current securities regime in Canada, and looks at the costs and benefits of provincially regulated securities markets. |
Reforming Canadian Securities Regulation |
| Format | Stapled Pages | |
| Catalogue No. | PRB 05-28E | |
| Pages | 22 | |
| Language | English; Aussi disponible en français | |
| Price | $13.50 | |
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Written by Tara Gray and Andrew Kitching. Published by the Library of Parliament, 2005. Description: |
| 19 September 2005 While the regulation of securities in Canada has historically fallen under provinicial jurisdiction, some legal opinions have found that the federal government has the constitutional authority to pass comprehensive legislation regulating capital market activity within Canada. The profusion of provincial and territorial regulation has led many analysts to argue that the current structure of capital markets is unsustainable with the enactment of uniform securities laws across Canada. The debate is whether harmonization can be achieved through cooperation by provincial regulators or whether a more radical solution is necessary: the imposition of a single national securities regulator by the federal government. While this latter option is still under consideration, recent reform efforts have focused on working within the current system. This paper examines the current securities regime in Canada, and looks at the costs and benefits of provincially regulated securities markets. |
Securities Regulation: Calls for a Single Regulator |
| Format | Stapled Pages | |
| Catalogue No. | PRB 08-38E | |
| Pages | 14 | |
| Language | English; Aussi disponible en français | |
| Price | $13.50 | |
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Written by Andrew Kitching. Published by the Library of Parliament, 2009. Description: |
| 16 February 2009 The Canadian securities industry plays a vital role in the national economy by enabling businesses to access capital and by providing investment opportunities for the Canadian public. Effective regulation of capital markets is crucial; lack of confidence in these markets can have economic repercussions when participants withdraw from them. Canada is the only major industrialized nation without a common securities regulator. A number of commentators believe that Canada’s current regulatory system for securities is fragmented and outdated. This paper describes the jurisdiction and responsibilities of stakeholders in the securities industry, and identifies historical pressures for a common securities regulator. As well, it discusses a number of studies and proposals that would result in greater harmonization of securities laws and regulations, and mentions the most recent efforts by the federal and provincial/territorial governments to establish a single securities regulator. |
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