Corporate Finance


John Hinze, Director, Corporate Finance

Corporate Finance works to provide investors access to the information they need to make informed investment decisions. Markets operate most efficiently when all investors have access to timely, accurate and complete information. 

We achieve our mandate through the following functions:  

Corporate Disclosure

  • reviews prospectuses and other offering documents
  • monitors disclosure and educates directors and officers of public companies on their disclosure obligations
  • reviews financial statements, material change filings, and other continuous disclosure
  • assists insiders with insider report filings on SEDI
  • reviews reports of exempt distribution

Legal

  • advises on regulatory policy initiatives
  • participates in CSA regulatory initiatives, promoting the passport system and harmonization
  • reviews discretionary exemption applications with a view to facilitates business objectives without compromising investor protection or market integrity
  • develops legislation, rules and policies to improve the efficiency and effectiveness of regulation
  • assists market participants in understanding their regulatory obligations
  • responds to legal and regulatory issues arising in takeover bids

Chief Accountant's Office

  • provides accounting expertise and monitors the development of national and international accounting and auditing standards

Chief Mining Advisor's Office

  • reviews technical disclosure by the mining and mineral exploration industry, and leads education efforts to inform the mining industry about scientific and technical disclosure requirements under securities law

Corporate Finance Compliance

  • reviews serious cases of misleading disclosure and market abuses and, where warranted, takes compliance and enforcement action against issuers and insiders that have failed to comply with securities law requirements
Finance and Facilities
  • manages the financial affairs and facilities of the Commission with responsibilities that include purchasing, accounting, budgeting, financial reporting, and maintaining and safeguarding Commission facilities