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Jayne Cooke

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Blog Apr 16, 2024

SEC wins novel ‘shadow trading’ trial against biopharma executive

A novel theory of insider trading known as “shadow trading” involves the use of material non-public information about a reporting issuer...

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SEC wins novel ‘shadow trading’ trial against biopharma executive
Osler Update Dec 11, 2023

Capital markets enforcement: innovative, and controversial, new directions

There were a number of intersecting trends in the capital markets regulatory and enforcement landscape in 2023. These trends can serve as a window...

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Capital markets enforcement: innovative, and controversial, new directions
Blog Dec 8, 2023

CSA and CIRO review comments but come to no conclusion (yet) on short selling regulatory regime

The Canadian Securities Administrators and the Canadian Investment Regulatory Organization have released stakeholder comments and responses solicited...

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CSA and CIRO review comments but come to no conclusion (yet) on short selling regulatory regime
Blog Nov 13, 2023

OSC publishes report on AI in the capital markets

Like elsewhere in the economy, alternative intelligence technologies offer both potential benefits and significant risks to capital markets...

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OSC publishes report on AI in the capital markets
Blog Aug 30, 2023

Streamlining enforcement of minor infractions: The British Columbia Securities Commission’s ‘traffic ticket’ style mechanism

On April 26, 2023, the B.C. Securities Commission (the BCSC) introduced its newest mechanism for levying administrative monetary penalties without a...

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Streamlining enforcement of minor infractions: The British Columbia Securities Commission’s ‘traffic ticket’ style mechanism
Blog Apr 17, 2023

Québec Court of Appeal clarifies elements of fraud offence for corrupt conduct

The Québec Court of Appeal dismissed an appeal seeking to overturn a 2019 conviction for fraud, corruption of foreign officials and laundering...

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Québec Court of Appeal clarifies elements of fraud offence for corrupt conduct
Blog Feb 28, 2023

U.S. capital markets regulators crack down on recordkeeping and unapproved communication methods

The rise of alternative messaging applications poses challenges for many firms’ recordkeeping obligations. Lawrence Ritchie, Sarah...

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U.S. capital markets regulators crack down on recordkeeping and unapproved communication methods
Blog Dec 19, 2022

Has the American judiciary closed the door on SEC administrative courts?

A decision from the Fifth Circuit Court in the United States found that the Securities and Exchange Commission’s in-house courts deprive...

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Has the American judiciary closed the door on SEC administrative courts?
Blog Aug 30, 2022

Ontario’s new Capital Markets Tribunal weighs circumstantial evidence in insider trading decision

Allegations of insider trading and tipping can be difficult to prove. Osler’s Lawrence Ritchie, Alex Cobb, Marleigh Dick, Jayne Cooke and...

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Ontario’s new Capital Markets Tribunal weighs circumstantial evidence in insider trading decision
Blog Apr 29, 2022

Securities Commission confirms statutory confidentiality provisions apply to Staff and witnesses

An Ontario Securities Commission hearing panel recently found that Staff improperly disclosed confidential witness testimony. Does this signal a...

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Securities Commission confirms statutory confidentiality provisions apply to Staff and witnesses