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Results: 1-10 of 469

SEC Continues to Penalize Companies which Restrict Whistleblowing or Seek Waiver of Payment of Whistleblower Incentive Payments
  • Osler Hoskin & Harcourt LLP
  • Canada, USA
  • August 24 2016

As whistleblower initiatives build steam in Canada, the United States and throughout the world, executives, and board members face evolving


Insider trading: a first spring loading case in Québec
  • Osler Hoskin & Harcourt LLP
  • Canada
  • August 19 2016

On August 16 of this year, the Tribunal Administratif des Marchés Financiers (TAMF), formerly the Bureau de Décision et de Révision, rendered a


A Review of New Whistleblower Protections Under Ontario’s Securities Act
  • Osler Hoskin & Harcourt LLP
  • Canada
  • August 5 2016

In connection with the establishment of the Ontario Securities Commission’s new Whistleblower Program in July 2016, which includes monetary


Three Scotia Dealers Reach No-Contest Settlement with OSC
  • Osler Hoskin & Harcourt LLP
  • Canada
  • August 3 2016

On July 29, 2016, the Ontario Securities Commission approved a no-contest settlement agreement with three Bank of Nova Scotia dealers in connection


Initial Board of Directors and New Implementation Timelines Announced for Canada’s Securities Regulatory Regime
  • Osler Hoskin & Harcourt LLP
  • Canada
  • July 26 2016

In an important step towards implementing Canada’s Cooperative Capital Markets Regime, the participating jurisdictions have made the long awaited


Contested private placements under new take-over bid regime: Securities regulators reject Hecla challenge of Dolly Varden private placement
  • Osler Hoskin & Harcourt LLP
  • Canada
  • July 26 2016

In a closely watched decision that follows the introduction of a new Canadian take-over bid regime earlier this year, Canadian securities regulators


The Long-Awaited OSC Whistleblower Program Is Now In Force
  • Osler Hoskin & Harcourt LLP
  • Canada, Ireland, USA
  • July 21 2016

On July 14, 2016, the Ontario Securities Commission (the “OSC”) broke ground in Canada when it officially launched its widely anticipated Office of


No More Kicks at the Discovery Can: Motion to Examine CEO Second Witnesses Denied
  • Osler Hoskin & Harcourt LLP
  • Canada
  • July 14 2016

On July 5, 2016, Justice Perell of the Ontario Superior Court released a decision in Fischer v IG Investment Management Ltd., which (among other


Legal and industry opposition to U.S. Fiduciary Rule may be a harbinger of developments in Canada with proposed introduction of best interest standard
  • Osler Hoskin & Harcourt LLP
  • Canada, USA
  • July 13 2016

On June 1, 2016, the U.S. Chamber of Commerce, the Securities Industry and Financial Markets Association (SIFMA) and six other industry and trade


Questions Raised Over the Constitutionality of SEC Administrative Proceedings
  • Osler Hoskin & Harcourt LLP
  • Canada, USA
  • July 8 2016

As noted in previous articles, Canada and the US have different approaches to regulatory enforcement. Canadian securities regulators overwhelmingly