Ralph Lindzon
Consultant | Toronto
Toronto: 416-863-2535

Ralph works principally on regulatory matters for participants in the securities industry, financings and other securities regulatory matters.

While on contract with the Ontario Securities Commission, Ralph was the principal drafter of the Canadian portion of the multijurisdictional disclosure system, worked with the Securities and Exchange Commission on coordinating the drafting of the U.S. part, and worked with the state securities regulators on drafting corresponding state legislation.

Ralph has also worked in Hong Kong as director of take-overs and mergers of the Securities and Futures Commission; Japan, where he worked on large numbers of financings; and London, England, where he worked on a U.K. privatization that included a public offering in Canada.

SELECT EXPERIENCE
  • Drafting of a new mutual fund statute for the Philippines and the implementing rules and forms

  • Issuances of medium term notes by BAC Canada Finance Company (formerly Merrill Lynch Canada Finance Company), including preparation of its shelf prospectus documentation

  • The Canadian securities regulatory aspects of the combination of Weyerhaeuser Company's fine paper business with Domtar Inc.

  • The application by Eurex Deutschland for exemption from recognition under the Quebec Derivatives Act

  • The application by subsidiaries of U.S. broker-dealers for registration with the OSC and membership in the Investment Industry Regulatory Organization of Canada, including the preparation of their compliance manuals

  • Advising Canadian banks and investment dealers and foreign broker-dealers and investment managers on compliance with Canadian regulatory requirements

  • Advising issuers on continuous disclosure requirements

PUBLICATIONS
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