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Blog March 30, 2023

British Columbia Securities Commission levies $1.5 million in sanctions on trio of investment scammers

In December, the British Columbia Securities Commission banned three actors from the capital markets for life after defrauding investors in a battery...

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British Columbia Securities Commission levies $1.5 million in sanctions on trio of investment scammers
Blog February 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 April 8, 2022

The perils of asserting privilege

Canadian courts — up to and including the Supreme Court of Canada — have confirmed that solicitor-client privilege is a substantive...

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The perils of asserting privilege
Blog April 7, 2022

The AMF must conduct its investigations with ‘rigour, diligence and celerity’

These are the words of the Tribunal administratif des marchés financiers, when it reminded the Autorité des marchés financiers that a freeze order...

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The AMF must conduct its investigations with ‘rigour, diligence and celerity’
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 July 20, 2021

World Bank debars three companies in effort to promote higher integrity standards

The World Bank recently debarred three companies for alleged corrupt conduct. Osler’s Stéphane Eljarrat, Malcolm Aboud, Sarah Firestone and...

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Blog July 16, 2021

Global financial crime compliance costs are trending upwards. Is Canada catching up?

A new report shows the costs of global financial crime compliance skyrocketed in the last year. In their blog post, Lawrence Ritchie, Sonja Pavic and...

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Blog April 27, 2021

Canada’s budget introduces long-awaited beneficial ownership registry to combat money laundering

With increasing spotlight being shone on the prevalence of financial wrongdoing worldwide   – especially following revelations...

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Blog February 4, 2021

Regulators forced to respond to GameStop Corp.’s historic yo-yo

Wall Street has been in a state of disorder in recent weeks as the share price of brick and mortar retailer GameStop Corp. (“GameStop”)...

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Blog December 16, 2020

OSC-FINTRAC MOU for information sharing

On December 3, 2020 the Ontario Securities Commission (OSC) and Financial Transactions and Reports Analysis Centre of Canada (FINTRAC) announced that...

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