Regulatory Investigations Regulatory Investigations

Jurisdiction and tolling agreements with the SEC: Watching the Fowler Case through Canadian eyes

Regulatory investigations can be time consuming. Uncertainty surrounding ultimate outcomes is disruptive to the personal and business decision-making...

Key developments in white-collar defence

This year was marked by uncertainty and increased risk for businesses as a result of the COVID-19 pandemic.

Evolving capital markets regulatory enforcement

Even prior to the impacts of COVID-19, change was on the horizon for capital markets enforcement in 2020.

Ontario Securities Commission awards over half a million dollars to three whistleblowers

Following a trend of rising whistleblower tips and awards, the Ontario Securities Commission (the “OSC”) recently sent another strong...

IIROC Rules: Respondent use of complainant interview in related proceeding is in the public interest

In Re Malic, 2020 IIROC 37, a decision released on October 6, 2020, the IIROC Hearing Panel (Alberta District) (the “Hearing Panel”)...

SEC enhances its whistleblower program to further incentivize tips

In what is described as an attempt to provide more clarity to whistleblowers and increase efficiency and transparency, on September 23, 2020, the...

DOJ Opinion Procedure Release offers guidance for contracting with public bodies

Guidance from law enforcement and regulators on their priorities and expectations is a valuable tool for managing risk for businesses and...

IIROC and MFDA each offer proposals with competing visions for the future of SROs in Canada

Canada is one of the few major jurisdictions to utilize self-regulatory organizations (“SROs”) in its capital markets regulatory regime....

Ontario securities taskforce seeks feedback on modernization report

The Ontario government’s Capital Markets Modernization Taskforce* (the “Taskforce”) is seeking public feedback on the 47 initial,...