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Rick Moscone presents Legal Concepts & Documentation Issues In Common Securities Transactions

December 10 & 11, 2013, Toronto | 5th Mastering Transactions for Law Clerks and Legal Professionals

Topic Brief

This discussion outlines the legal concepts and documentation issues involved in transactions, including common issues that arise during document preparation and best practices used to increase efficiency and accuracy.



Rick Moscone is Partner and Co-Chair of the Securities Law Group at Fogler, Rubinoff LLP. His practice is focused on corporate finance, M&As and securities regulatory matters.


Course Highlights

  • Understanding best practices in preparing essential transactional documentation for a closing
  • Get practical advice on effective minute book review and management of corporate transaction documents
  • Hear insights on conducting due diligence and effective corporate searches
  • Learn how to prepare for a large transaction
  • Develop the organizational skills needed to manage the purchase and sale of a privately held business


Event's Topics

  • Preparing for a large transaction
  • Managing the Due Diligence Process
  • Understanding the legal concepts and documentation issues in relation to common securities transactions
  • Preparing Key Documents In Private Placements And Public Offerings
  • Preparing essential closing documentation
  • Purchase and Sale of a Privately held business
  • Roles & Responsibilities of the Law Clerk in Today's Offices
  • Managing Time and Stress When Dealing with Complex Transactions



Effective Minute Book Review and Management of Corporate Transaction Documents

Prior to any corporate reorganization, it is essential that the minute book be carefully reviewed and any minute book deficiencies be corrected. This workshop examines how to maintain minute books, as well as common errors that may occur and how they can be corrected.

  • What you should expect to find in a properly kept minute book
  • Establishing an effective approach to minute book reviews
  • Reviewing the articles of incorporation, by-laws, share registers and resolutions
  • Examining the minute book for errors or discrepancies
  • Taking measures to correct any errors or discrepancies
  • Effective retention and storage procedures

Participating Organizations

Aird & Berlis LLP Baker & McKenzie LLP Borden Ladner Gervais LLP Dentons Canada LLP Fogler Rubinoff LLP Goodmans LLP McCarthy Tétrault LLP Royal & Sun Alliance Insurance Company of Canada Second Cup Stikeman Elliott LLP


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