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OSC’s Investor Advisory Panel releases 2018 Annual Report

The challenge of understanding the unique perspectives of consumer level investors led the Ontario Securities Commission (OSC) to establish the...

MFDA boosts enforcement activity in 2018

Canada’s ‘other’ national self-regulatory agency is demonstrating its intention to police the mutual fund distributors it...

OSC Seeks Input on Priorities for 2019-2020

On March 28, 2019, the Ontario Securities Commission (“OSC”) published for comment its 2019-2020 Draft Statement of Priorities. Notable...

UK SFO Speeding Up Investigations

The Director of the U.K.’s Serious Fraud Office (the “SFO”) – the U.K’s primary enforcement authority for economic...

Impending federal regulations on workplace violence and harassment

New workplace harassment and violence rules will apply to Federally Regulated Employers. The public policy agenda behind these and similar...

NASAA targets ‘cross-selling’ sales tactic in investment and banking sectors

The North American Securities Administrators Association (NASAA) is an association of securities administrators from Canada, the United States of...

IIROC moving forward with new enforcement tools

The Investment Industry Regulatory Organization of Canada, Canada’s national investment dealer self-regulatory organization, has announced it...

Canadian prosecutors secure two more convictions in foreign corruption case

Two convictions recently handed down by the Ontario Superior Court of Justice account for two of only three convictions secured by prosecutors in...

U.S. regulators coordinate enforcement of violations involving the FCPA

While many in Canada lament the ‘fragmented’ financial regulatory environment that is a hallmark of  its constitutional division of...

OECD releases report confirming non-trial resolutions represent the main mechanism used to combat transnational corruption issues

The seventh annual Global Anti-Corruption and Integrity Forum of the Organisation for Economic Co-operation and Development (OECD) was held in Paris...