Lauren Tomasich Lauren Tomasich

AMF to take closer look at registrants’ business relationships

The Autorité des marchés financiers (“AMF"), in seeking to bolster its role as a local regulator and better support the industry,...

To ban or not to ban waivers of a consumer’s right to participate in a class action? U.S. Senate vote underscores policy divide

Last week, the U.S. Senate voted to overturn a recently released Consumer Financial Protection Bureau (“CFPB”) rule that would have...

OSC alleges legal assistant involved in insider trading

The Ontario Securities Commission has issued a statement of allegations against a former legal assistant at a major Bay Street law firm and three...

Common issues not remotely common? Two appeals courts disagree

Hodge v. Neinstein is an interesting case that we have written about a number of times over the past few years. The action involves a representative...

FINRA announces new initiatives to address “bad actor” brokers

In May, the U.S. Financial Industry Regulatory Authority (“FINRA”) Board of Governors approved a set of proposals as part of...

VC and PE firm codes of conduct

Recent events at certain venture capital (VC) firms in Silicon Valley have brought into focus the importance of VC and private equity firms adopting...

Let’s make a deal[er] – 2016 a record year for MFDA enforcement activity

In a May 26, 2017 press release, the Mutual Fund Dealers Association of Canada (“MFDA”) announced its 2016 Annual Enforcement Report,...

Securities and Related Investigations – Canada

We answer a wide range of questions related to the law and practice of securities investigations in Canada.

Corporate governance and data issues

The immediate steps you take after a data breach can set the tone for the response and influence how smoothly your organization can move forward from...

New IOSCO Standard Likely to Yield Increased International Enforcement Cooperation and Integration

It is trite to say that capital markets know no borders. Increasingly, this reality is prompting capital markets regulators and enforcers around the...