Proportionate Securities Regulation: The Potential for Scaled Treatment of Junior Issuers

58 Pages Posted: 22 Jul 2011

See all articles by Janis P. Sarra

Janis P. Sarra

University of British Columbia (UBC), Faculty of Law

Date Written: 2008

Abstract

Particular features of Canada’s capital market inform our consideration of moving towards a more proportionate regulatory system. Specifically, Canada has a large number of small public companies; its market cap is concentrated largely in four provinces; it has a particular focus on mining, resources and technology; and a significant number of issuers are cross-listed on US exchanges. Canadian securities regulators have already recognized some measure of proportionate regulation in their national instruments, based on the type of listing. The paper suggests that a number of overriding principles or considerations should be taken into account in respect of a further move towards proportionate regulation.

Keywords: Canada, Securities regulation

Suggested Citation

Sarra, Janis P., Proportionate Securities Regulation: The Potential for Scaled Treatment of Junior Issuers (2008). Available at SSRN: https://ssrn.com/abstract=1865939 or http://dx.doi.org/10.2139/ssrn.1865939

Janis P. Sarra (Contact Author)

University of British Columbia (UBC), Faculty of Law ( email )

1822 East Mall
Vancouver, British Columbia V6T 1Z1
Canada
604-822-9255 (Phone)

HOME PAGE: http://www.law.ubc.ca/faculty/Sarra/

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