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.

Search results

Order by: most recent most popular relevance



Results: 1-10 of 115

U.K. Approves First DPA in Standard Bank Case
  • Osler Hoskin & Harcourt LLP
  • Canada, United Kingdom, USA
  • December 17 2015

In a development that should be watched carefully by enforcement officials in Canada, on November 30th the Royal Courts of Justice in the United


SEC announces record numbers for whistleblower tips and awards
  • Osler Hoskin & Harcourt LLP
  • Canada, USA
  • November 26 2015

Canada’s largest securities regulator continues to move to implement its whistleblowing program, and investors and market participants should take


SEC emphasizes financial benefits to whisteblowers who come forward early
  • Osler Hoskin & Harcourt LLP
  • Canada, USA
  • November 6 2015

The SEC this week suggested that it will limit whistleblower awards or so-called “bounties” in circumstances where whistleblowers wait before


Incentives rise in the OSC Whistleblower Program
  • Osler Hoskin & Harcourt LLP
  • Canada
  • October 30 2015

Increasingly, companies are expected to develop, implement and properly administer complaint handling and “whistleblowing” programs, especially in


Individual accountability for corporate wrongdoing: a perspective from United States practice as reflected in the Yates Memorandum
  • Osler Hoskin & Harcourt LLP
  • Canada, USA
  • September 24 2015

On September 9, 2015, Deputy Attorney General Sally Yates of the United States Department of Justice ("DOJ") issued a memorandum entitled "Individual


Avon settles FCPA related class action for $62 million: lessons for Canadian companies on undertaking timely investigations
  • Osler Hoskin & Harcourt LLP
  • Canada
  • September 14 2015

Avon Products Inc. (Avon) and a group of its shareholders reached a $62 million settlement last month in a derivative class action law suit alleging


SEC judge joins ongoing debate regarding securities enforcement against compliance personnel
  • Osler Hoskin & Harcourt LLP
  • Canada, USA
  • September 10 2015

In a recent decision, Cameron Elliott, Administrative Law Judge for the Securities Exchange Commission (“SEC”), weighed in on the ongoing debate


Sanctions ordered in FinkelsteinAzeff insider trading and tipping decision
  • Osler Hoskin & Harcourt LLP
  • Canada
  • September 8 2015

On August 24, 2015, the Ontario Securities Commission (“OSC”) released its long awaited Reasons and Decision on Sanctions and Costs in the


BNY Mellon fined $15 million by SEC in financial industry anti-corruption sweep
  • Osler Hoskin & Harcourt LLP
  • Canada, USA
  • August 21 2015

Bank of New York Mellon (BNY Mellon) has agreed to pay a fine to the U.S. Securities and Exchange Commission (SEC) in the amount of US$14.8 million


OSC whistleblower roundtable provides food for thought
  • Osler Hoskin & Harcourt LLP
  • Canada
  • June 25 2015

As we have written previously, we recognize the increasing reliance and institutionalizations of whistleblower programs as one of the most