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Blog December 22, 2021

Ontario Capital Markets Modernization Taskforce elicits potential enforcement changes in proposed Capital Markets Act

The draft of Ontario’s proposed Capital Markets Act includes several recommendations designed to modernize and enhance the OSC’s...

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Ontario Capital Markets Modernization Taskforce elicits potential enforcement changes in proposed Capital Markets Act
Osler Update December 9, 2021

Staff successfully appeals decision of its own self-regulatory organization

Staff of the Mutual Fund Dealers Association of Canada successfully appealed a decision of its own self-regulatory organization hearing panel last...

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Blog December 8, 2021

CFTC announces record-breaking whistleblower award: Does it raise the bar for incentivizing whistleblowing?

The U.S. Commodity Futures Trading Commission recently announced the largest payout ever given to a single whistleblower under the Dodd-Frank Program...

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CFTC announces record-breaking whistleblower award: Does it raise the bar for incentivizing whistleblowing?
Blog November 23, 2021

The pursuit of protection and deterrence: the OSC finds MFDA panel erred in failing to impose a fine

Last month, the Ontario Securities Commission ruled that a decision of the self-regulating Mutual Fund Dealers Association of Canada regarding...

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The pursuit of protection and deterrence: the OSC finds MFDA panel erred in failing to impose a fine

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