Regulatory/ Stock Exchange and Securities Commission Applications/Filings

Regulatory/ Stock Exchange and Securities Commission Applications/ Filings

  • Work with the senior management team, board of directors and professional advisors, as appropriate, to ensure compliance with all corporate, securities and stock exchange requirements
  • Monitoring regulatory filing deadlines
  • To name a few applications that CAS has been involved with:  many types of private placements (equity and debt instruments); shares for debt; shares for services; amendments to previously approved stock options, warrants, and debentures; normal course issuer bids; change of auditor; change of transfer agent; change in year end; escrow agreements; share consolidations and name changes; stock option plan approvals; shareholder rights plans; offering memorandum; Investor Relations Consultant engagements, etc.