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Insider trading better safe than sorry
- Borden Ladner Gervais LLP
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- Canada
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- May 7 2013
A series of recent Alberta Securities Commission decisions recently underscored the inherent dangers of buying or selling securities of companies in
The FCPA: the United States DOJ and SEC provide guidance
- Borden Ladner Gervais LLP
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- USA
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- November 22 2012
On 14 November 2012, the criminal division of the United States Department of Justice (“DOJ”) and the enforcement division of the US Securities and Exchange Commission (“SEC”) published a guide intended to provide information for businesses and individuals regarding the Foreign Corrupt Practices Act (“FCPA”) entitled: FCPA: A Resource Guide of the U.S. Foreign Corrupt Practices Act (the “Guide”
No insider trading because no ‘special relationship’, but trades still contrary to public interest
- Borden Ladner Gervais LLP
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- Canada
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- September 19 2012
Staff at the Ontario Securities Commission (OSC) may have thought they had a compelling case that Paul Donald, a vice-president at Research in Motion (RIM) had violated s 76(1) of the Securities Act, which makes it an offence for a person to trade in the securities of an issuer with which the person is in a ‘special relationship’ on the basis of a material fact or material change about the issuer that has not been generally disclosed
The scope of improper trading
- Borden Ladner Gervais LLP
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- Canada
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- August 15 2012
In Re Donald, the Ontario Securities Commission (“OSC”) found that a former Research in Motion Ltd. (“RIM”) employee acted in a manner “contrary to the public interest” by trading in securities with knowledge of a potential take-over of the Issuer, despite the fact that there was no violation of the insider trading prohibition
Not a winning defence to say ‘we didn’t really mean it when we said we were honest'
- Borden Ladner Gervais LLP
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- USA
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- August 8 2012
But Goldman Sachs tried it anyway in Richman v Goldman Sachs, 2012 US Dist LEXIS 86556 (SDNY, 21 June 2012), a class action over alleged failures of disclosure in the marketing of collateralised debt obligations (CDOs
Limited initial review by counsel of opposing party’s privileged documents not grounds for injunction
- Borden Ladner Gervais LLP
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- United Kingdom
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- January 19 2012
Enyo Law LLP, a firm of solicitors, acted for the claimants in a case involving an allegedly fraudulent investment scheme and, through disclosure in those proceedings came into possession of electronic files belonging to Stiedl, one of the defendants in that litigation
The autorité des marchés financiers initiates a consultation on the compensation of consumers of financial products and services
- Borden Ladner Gervais LLP
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- Canada
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- January 10 2012
In the wake of the scandals of Norbourg, Earl Jones and Mount Real, the Autorité des marchés financiers (AMF) initiated a public consultation on December 9, 2011, regarding the compensation of victims of financial crimes
‘Epic failures’ of class counsel admonished by New York court
- Borden Ladner Gervais LLP
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- Canada
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- November 9 2011
A class action was commenced in 2005 against Smith Barney and others, alleging securities fraud in connection with the purchase of shares in the Smith Barney Capital Preservation Fund (SBCPF) by members of the proposed class
Strike 1 for Madoff trustee in claim against Mets owners
- Borden Ladner Gervais LLP
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- Canada
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- November 9 2011
Saul Katz and Fred Wilpon, owners of the New York Mets baseball team, invested in Bernard Madoff’s Ponzi scheme
The OSC mandates notice to a third party whose records are sought by a foreign criminal law enforcement agent
- Borden Ladner Gervais LLP
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- Canada
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- February 22 2011
On December 2, 2009, a panel of the Commission heard submissions in camera on a motion for an order under s.17(1) of the Securities Act (the “Act” ), permitting a foreign securities regulator to disclose to a foreign criminal law enforcement agency certain compelled documents relating to two account holders of a Bank (the Bank was not named in the decision
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