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OSC Freeze Orders
  • Borden Ladner Gervais LLP
  • Canada
  • January 29 2016

In granting an order extending freeze on assets, the Court found that the amended language of s. 126 (b) of the Securities Act, required a change to


From the Courts
  • Borden Ladner Gervais LLP
  • Canada
  • January 29 2016

The plaintiffs were amongst several investors who lost money in corporations promoted by individuals who had been the subject of proceedings by the


Insider Trading
  • Borden Ladner Gervais LLP
  • Canada
  • January 29 2016

The Alberta Court of Appeal referred an insider trading sanctions of $1.75m in administrative penalties back to the Alberta Securities Commission


Outsiders on the inside: a cross-border insider trading case study
  • Borden Ladner Gervais LLP
  • Canada
  • October 27 2015

It's not the typical insider trading story: a COO in the U.S. begins selling his retail company's sale and return reports of smartphones to an


Highlights from other IIROC enforcement proceedings
  • Borden Ladner Gervais LLP
  • Canada
  • April 15 2015

By way of settlement agreement, an Ultimate Designated Person, Chief Compliance Officer and a Supervisor agreed to a fine of $20,000, a six-week


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


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


Alberta insider trading cases
  • Borden Ladner Gervais LLP
  • Canada
  • August 20 2014

The July 8 2014 acquittal of Rengam Rajaratnam in New York District Court ended a long streak of insider trading convictions in that jurisdiction


Inter-jurisdictional sanctions imposed
  • Borden Ladner Gervais LLP
  • Canada
  • July 7 2014

In 2012, The British Columbia Securities Commission (“BCSC”) found that two traders, Frederick Lawrence Mitschele (“Mitschele”) and Michael Wallace


Re: Haggerty, 2014 ABASC 237
  • Borden Ladner Gervais LLP
  • Canada
  • July 7 2014

This case affirms that a hunch or suspicion held by an insider does not rise to the level of "material" information upon which one is precluded from