Risk Management and Crisis Response Risk Management and Crisis Response

Recent developments in the U.S. SEC’s proceedings against major crypto players signals pro-industry policy shift

The U.S. SEC has moved quickly to shift its stance towards the crypto industry under President Trump’s administration.

U.S. ‘pausing’ criminal enforcement of foreign bribery laws while DOJ is directed to revisit priorities

We look at what the move may mean for the U.S.'s historically aggressive track record in enforcing foreign bribery laws and efforts to fill the gap.

Alberta lawyer faces sanctions for failing to identify a ‘pump and dump’ scheme

A recent decision highlights the importance of lawyers taking sufficient steps to identify “red flags” raised by their clients’ conduct.

Evolving legal and political landscape creates uncertainty about securities regulation of crypto-related activity

We recap some recent cases from both sides of the border, with an eye to where enforcement activity may go from here.

Regulation by enforcement: who pays the price?

Who should bear the costs of Ontario Securities Commission enforcement proceedings is emerging as an important issue.

Tackling ‘snow washing’: expanding Canada’s anti-money laundering regime

We explore recent regulatory developments relating to AML and AFL, as well as anticipated changes in the future.

Two years of CIRO: enforcement, harmonization and what’s next

The Canadian Investment Regulatory Organization’s core priorities will be enforcement and regulatory harmonization.

Will new powers lead to more effective capital markets regulatory enforcement?

With broader investigative and enforcement powers, securities regulators levied increased sanctions in 2024.

Federal government plans mandatory climate disclosures for large private CBCA companies and voluntary sustainable investment guidelines

The federal government has announced complementary plans to enhance corporate sustainability and transparency.

Water cannot be turned into wine: Cormark and the legality of triangular hedging transactions

The Ontario Capital Markets Tribunal has provided important guidance on hedging transactions in connection with private placements.