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CSE Strengthens Investor Protection Through Enhanced Initial and Continued Listing Requirements

CSE Strengthens Investor Protection Through Enhanced Initial and Continued Listing Requirements 

February 25, 2016 – Toronto, ON - The Canadian Securities Exchange (CSE), in consultation with the Ontario Securities Commission (OSC), is proposing a number of new initiatives to further enhance investor protection, including new initial and continued listing requirements. These modifications are reflected in proposals published by the CSE for public review and comment and demonstrate the Exchange’s commitment to act in the public interest.  These enhancements are also reflected in amendments to the CSE’s Recognition Order. 

“As one of the gatekeepers to the public equity markets, the CSE has always worked with regulators to advance the interests of the investing public,” said Richard Carleton, CEO.  “We are making important changes to our initial and ongoing listing requirements in order to enhance investor confidence while continuing to provide an important platform for entrepreneurs to access the capital markets.”

In addition to the modified listing requirements, the CSE is retaining experts to work with its listed companies to further enhance the quality of their reporting, including both financial and technical disclosure. These measures enhance issuers’ continuous disclosure, which already includes a requirement to post monthly progress reports on the CSE website. 

“The CSE plays a unique and important role as the only non-bank-owned Canadian exchange for emerging growth companies,” Carleton said. “These enhancements will strengthen our ability to continue serving entrepreneurs and investors.”

The CSE’s publication of the proposed amendments commences a public comment period for 30 days, allowing any interested party to submit comments.  

For more information on the specific changes to the CSE’s Listing Policies, see CSE Notice 2016-003, issued February 25, 2016 and available at:

 About the Canadian Securities Exchange:
The Canadian Securities Exchange is the only exchange in Canada providing trading and market information services for all domestically listed instruments. Recognized as an exchange by the Ontario Securities Commission in 2004, the CSE is designed to facilitate the capital formation process for public companies through a streamlined approach to company regulation that emphasizes disclosure and the provision of efficient secondary market trading services for investors. The eExchange is home to more than 300 issues covering a broad range of industry sectors.

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Richard Carleton, CEO 






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