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Results 1 to 5 of 8

Whistleblower Policy bulletin

Canada - July 15 2016 The Ontario Securities Commission's (the "Commission") highly publicized Whistleblower Policy (15-601) (the "Policy") came into effect July 14, 2016…

Co-authors: Suzanne Kittell, Maureen Doherty.

New tips for tipsters: a quick review of the more vital variations to the OSC’s proposed whistleblower program

Canada - November 10 2015 The Ontario Securities Commission published the Proposed OSC Policy 15-601 Whistleblower Program for comment on October 28, 2015, containing some…

Co-authors: Laura Paglia, Suzanne Kittell.

The OSC’s revised Credit for Cooperation Program

Canada - April 24 2014 The OSC's Revised Credit for Cooperation Program, as set out in OSC Staff Notice 15-702, introduces new enforcement tools that have traditionally…

Co-authors: Tyler Hodgson.

Brokers’ report II

Canada - May 10 2012 On April 4, 2012 the Ontario Superior Court of Justice - Divisional Court dismissed an application for judicial review brought by Deutsche Bank Securities Limited (“DBSL”) of a decision of the Ontario Securities Commission (“OSC”) dismissing DBSL’s application for a hearing and review of a decision of a Hearing Panel of the Investment Industry Regulatory Organization of Canada (“IIROC”).

ABCP revisited

Canada - October 6 2011 On September 28, 2011, the Ontario Securities Commission released its long awaited decision In the Matter of Coventree Inc., Geoffrey Cornish and Dean Tai.

Co-authors: A. Nicole Westlake .

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