DOJ releases revised policy for handling investigations of corporate crime. The US Department of Justice (DOJ) issued a revised policy dictating how prosecutors should approach criminal misconduct by corporate executives, according to a report in Reuters. The DOJ will now focus more on individual misconduct at the beginning of investigations and will no longer give companies partial credit for cooperating with an investigation; companies will be required to disclose all relevant information about individuals suspected of misconduct in order to receive credit for cooperation. (9/10/2015) Corporate crime.
OSC Dialogue 2015. The Ontario Securities Commission (OSC) released the final agenda and speaker list for OSC Dialogue 2015, which will take place on October 8, 2015. (9/10/2015) OSC press release.
OSC issues staff notice regarding marketplace operation and forms F1 and F2.The OSC issued a staff notice regarding the requirement that marketplaces and their operators limit the scope of their operations to those described in Forms 21-101 (F1) and 21-101 (F2). Effective October 1, 2015, marketplace chief executive officers will be required to certify that the descriptions of marketplace operations contained in Form F1 or F2 are complete and accurate. (9/10/2015) OSC staff notice 21-709.
Market Structure Advisory Committee. The OSC announced the members of the Market Structure Advisory Committee for the 2015-2017 term. (9/9/2015) OSC press release.
CSA amends certain national instruments to reflect recognition of new exchange. The Canadian Securities Administrators (CSA) announced that it was implementing amendments to several National Instruments to address the differences in treatment of certain reporting issuers related to the recognition of Aequitas NEO Exchange Inc. as an exchange. The changes will become effective on November 17, 2015. (9/3/2015) CSA notice of amendments.