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Blog Jul 10, 2020

U.S. DOJ and SEC update Foreign Corrupt Practices Act guidance

As we have discussed on a number of occasions, the approach taken to investigating and prosecuting financial crime in the United States is...

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Blog Apr 28, 2020

Ontario Appeal Court addresses the definition of a “security”: if it looks, walks and quacks like a duck, it MAY be a duck

In a decision released March 16, 2020 that may have implications for the regulatory treatment of certain financial instruments in...

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Blog Apr 24, 2020

Bankruptcy discharge not an option for securities law violators B.C. Court rules

On April 15, 2020, the British Columbia Supreme Court denied an application by a married couple previously found to have contravened B.C. securities...

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Blog Apr 21, 2020

Regulators push deadlines for reform implementation in response to COVID-19

As the COVID-19 pandemic saga continues to unfold, financial regulators continue to demonstrate flexibility for market participants and their staff...

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Blog Mar 23, 2020

Adapting litigation rules to COVID-19: Suspension of limitation periods and deadlines and other temporary changes to processes and access to redress

Governments have announced the suspension of non-urgent hearings, and the closure of courts across Canada. Measures are being implemented that impact...

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Adapting litigation rules to COVID-19: Suspension of limitation periods and deadlines and other temporary changes to processes and access to redress
Osler Update Mar 5, 2020

OSC proposes restrictions on use of DSC option in the sale of mutual funds

The Ontario Securities Commission has published for comment proposed Ontario Securities Commission Rule 81-502 Restrictions on the Use of the...

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Osler Update Oct 4, 2019

CSA finalizes client focused reforms to Canadian securities registration rule

On October 3, 2019, the Canadian Securities Administrators (CSA) published Reforms to Enhance the Client-Registrant Relationship (Client Focused...

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Blog Oct 2, 2019

Settlement establishes compensation fund for PlexCoin ICO investors

A U.S. District Court has approved a settlement between the Securities and Exchange Commission (SEC) and the directing minds behind the PlexCoin...

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Blog Sep 11, 2019

Deviating from Whistleblower Programs may have more risk than payoff

The whistleblower at the heart of the multi-billion dollar Madoff fraud has set his sights on a new target; General Electric Co. Harry Markopolos is...

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Blog Jul 23, 2019

OSC Burden Reduction Initiative – Revisiting the 2003 Regulatory Burden Task Force

As the OSC continues to embark on its Burden Reduction Initiative, we think it is a worthwhile exercise to look back at the Commission’s 2003...

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