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Results: 1-10 of 206

SEC charges highlight importance of updating early warning reports

  • Osler Hoskin & Harcourt LLP
  • -
  • Canada, USA
  • -
  • March 27 2015

On March 13, 2015, the U.S. Securities and Exchange Commission (SEC) announced charges against eight directors, officers and major stockholders for

OSC’s decision in Conrad Black proceeding shows the importance of the acknowledgment of wrongdoing in determining sanctions

  • Osler Hoskin & Harcourt LLP
  • -
  • Canada
  • -
  • March 26 2015

The recent decision of the Ontario Securities Commission in the matter of Conrad Black marked the end of the decade-and-a-half-long saga surrounding

OSC scores important victory in Finkelstein insider trading and tipping decision

  • Osler Hoskin & Harcourt LLP
  • -
  • Canada
  • -
  • March 26 2015

In a much anticipated decision released yesterday that carries implications for lawyers and other professional “gatekeepers,” a panel of the Ontario

CSA releases annual Enforcement Report

  • Osler Hoskin & Harcourt LLP
  • -
  • Canada
  • -
  • March 5 2015

On February 19, 2015 the Canadian Securities Administrators ("CSA") released their seventh annual Enforcement Report (the "Report"), summarizing the

CSA announces amendments to National Instrument 45-106

  • Osler Hoskin & Harcourt LLP
  • -
  • Canada
  • -
  • March 2 2015

The Canadian Securities Administrators (CSA) recently announced amendments to National Instrument 45-106 Prospectus and Registration Exemptions (NI

IIROC identifies risk management issues among its members

  • Osler Hoskin & Harcourt LLP
  • -
  • Canada
  • -
  • February 27 2015

The Investment Industry Regulatory Organization of Canada (IIROC) recently released its annual compliance report. The purpose of the report was to

Will the OSC’s proposed whistleblower program bolster enforcement activity notwithstanding unique challenges?

  • Osler Hoskin & Harcourt LLP
  • -
  • Canada, USA
  • -
  • February 25 2015

On February 3, 2015, the OSC issued Staff Consultation Paper 15-401. The Consultation Paper calls for comments from the industry on its proposed

OSC earns notable insider trading victory, however difficulties continue with prosecuting cases involving chains of tipper-tippee misconduct

  • Osler Hoskin & Harcourt LLP
  • -
  • Canada
  • -
  • February 17 2015

OSC Staff has earned a long sought victory in its quest to police insider and related trading activity. But its victory was only partial, and the

Canadian securities class actions growing, U.S. settlements plummet

  • Osler Hoskin & Harcourt LLP
  • -
  • Canada, USA
  • -
  • February 11 2015

A wealth of information about securities class actions in Canada and the U.S. is available thanks to the excellent efforts of NERA Economic

IIROC releases Revised Sanction Guidelines

  • Osler Hoskin & Harcourt LLP
  • -
  • Canada
  • -
  • February 10 2015

On January 13, 2015, the Investment Industry Regulatory Organization of Canada (IIROC) released Revised Sanction Guidelines and related Policy