We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.
In cooperation with Association of Corporate Counsel
  Request new password

Search results

Order by most recent / most popular / relevance

Results: 1-10 of 471

Two recent Alberta court cases re-emphasize the desirability of securities enforcement options

  • Osler Hoskin & Harcourt LLP
  • -
  • Canada
  • -
  • September 11 2014

In previous entries posted on this blog, we have identified challenges securities regulators and prosecutors face in successfully bringing insider

Walton v Alberta (Securities Commission)

  • Borden Ladner Gervais LLP
  • -
  • Canada
  • -
  • September 3 2014

On August 29, 2014, the Alberta Court of Appeal released its decision in Walton v Alberta(Securities Commission), 2014 ABCA 723 ("Walton"). The

What happens when OSC Staff can’t prove its allegations? Lessons from the Baffinland insider trading saga

  • McCarthy Tétrault LLP
  • -
  • Canada
  • -
  • September 2 2014

Securities regulators pursuing allegations of insider trading typically allege not only that Respondents have violated the statute but also that

Sino-Forest OSC hearing opens

  • Baker & McKenzie
  • -
  • Canada
  • -
  • September 2 2014

On September 2, 2014, the Ontario Securities Commission commenced its high-profile hearing in the case of the Sino-Forest Corporation ("SFC"). SFC is

Important lessons from OSC’s latest insider trading decision

  • Osler Hoskin & Harcourt LLP
  • -
  • Canada
  • -
  • August 29 2014

In a recent decision, a panel of the Ontario Securities Commission dismissed allegations against two prominent mining executives who were alleged to

OSC rejection of insider trading allegations emphasizes prosecution difficulties

  • Osler Hoskin & Harcourt LLP
  • -
  • Canada
  • -
  • August 28 2014

On August 26, 2014, a panel of the Ontario Securities Commission (the "panel") released its highly anticipated decisioninvolving allegations of

Allegations of insider trading in Baffinland dismissed

  • Borden Ladner Gervais LLP
  • -
  • Canada
  • -
  • August 28 2014

A panel of the Ontario Securities Commission (“OSC”) has dismissed allegations against Jowdat Waheed and Bruce Walter of insider trading, tipping and

Overview of the United Kingdom Bribery Act

  • Blaney McMurtry LLP
  • -
  • Canada, United Kingdom
  • -
  • August 26 2014

Like the Corruption of Foreign Public Officials Act (“CFPOA”) and U.S. Foreign Corrupt Practices Act (“FCPA”), the UK’s Bribery Act 2010 (“UKBA”

Anti-corruption compliance stalls, despite aggressive enforcement

  • Blaney McMurtry LLP
  • -
  • Canada, United Kingdom, USA
  • -
  • August 26 2014

Anti-corruption compliance efforts appear to be stalling, despite an increase in enforcement actions. According to a global fraud survey conducted by

In settlements with regulators, hold up your end of the deal or pay a significantly higher price

  • Osler Hoskin & Harcourt LLP
  • -
  • Canada, USA
  • -
  • August 22 2014

Financial and other industry regulators most often have a prospective, public protecting jurisdiction, in contrast to criminal courts, which