Canada’s ‘other’ national self-regulatory agency is demonstrating its intention to police the mutual fund distributors it represents…
OSC Seeks Input on Priorities for 2019-2020
On March 28, 2019, the Ontario Securities Commission (“OSC”)
UK SFO Speeding Up Investigations
The Director of the U.K.’s Serious Fraud Office (the “SFO”) &nd…
Ontario amends pension legislation to address electronic beneficiary designations
Pension plan administrators are implementing electronic tools as part of their administration processes with increasing frequency. This can be attribu…
Supreme Court of Canada: Error for Court of Appeal to make factual finding trial judge declined to make
In brief oral reasons from the bench, the Supreme Court of Canada recently held in R. v. Wakefield, 2019 SCC 26 that it was an error for the …
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 initiatives…
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 Amer…
Appeal quashed from “without prejudice” dismissal of motion for non-party production
In Quenneville v. Robert Bosch GMBH, 2019 ONCA 235, the Court of Appeal for Ontario recently weighed back into the final-interlocutory debate…
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 is…
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 cont…
