摘要
加拿大矿业资本市场的发达程度居世界前列,其完善的监管机制及专门针对上市矿业公司不同层面的合规制度与规范,为矿业公司的上市及合规运营提供了良好的环境。文章通过对加拿大矿业资本市场监管机构的管理制度、矿业上市公司应该遵守的国家制度、证交所规章制度以及专业协会/委员会规范的综合研究与分析,从财务信息、年度股东大会、内部人士报告、重大信息等矿业上市公司运营过程中必然涉及的重大方面,详细介绍了加拿大矿业公司维持上市状态,实现健康发展所需履行的合规运营及信息披露义务。
The capital market of Canada, dominating entities being Toronto Stock Exchange （TSX） and TSX Venture Exchange （TSXV）, is a leading capital market in the world, especially in the mining sector. Its highly developed supervision systems and targe- ted rules, polices and regulations for mining sectors have created a favorable capital market environment for mining companies to list and carry on operations on TSX and TSXV. By studying and analyzing the relevant statutory rules, polices and regulations of Canada, such as National Policies, National Instruments, TSX/TSXV Polices, OSC Securities Acts and BC Securities Regulations etc., the pa- per is dedicated to summarize the obligations of compliance that should be fulfilled by the public mining companies, and the relevant information disclosure practices of the public mining companies including, but not limited to, financial statements, annum general meetings, insider reports, private placements and any other transactions and changes.
作者
杨玲玲
李调丽
付水兴
YANG Ling-ling;LI Tiao-li;FU Shui-xing(Sinotech Minerals Exploration Co., Ltd. ,Beijing 100012;Beifing Institute of Geology for Mineral Resources,Beijing 100012)
出处
《矿产勘查》
2018年第4期527-533,共7页
Mineral Exploration
基金
中国地质调查局项目(编号:121201103000150014)资助
关键词
加拿大
上市矿业公司
合规运营
信息披露义务
Canada
public mining companies
compliance information
disclosure obligations
作者简介
杨玲玲，女，1980年生，硕士，从事矿业海外投资、矿业海外投资管理及研究工作；E-mail：hellovera926@163．com。
