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Managing Conflicts of Interest in Soliciting Dealer Arrangements

Canada - June 19 2019 The Investment Industry Regulatory Organization of Canada (“IIROC”) recently released a Guidance Note (the “Guidance Note”) addressing conflicts of...

Dilara Alpli, Christine Windsor, Deandra L. Schubert.

IIROC Releases its Annual Enforcement Report for 2018

Canada - May 31 2019 Earlier this month, the Investment Industry Regulatory Organization of Canada (“IIROC”) published its annual Enforcement Report for 2018 (the...

Sean D. Sadler, Rene Sorell, Andrew Matheson, Cristian O. Blidariu.

Securities regulators pursuing disgorgement orders in other jurisdictions

Canada - May 29 2019 The British Columbia Securities Commission (“BCSC”) reported earlier this month that its $21.7 million disgorgement order against Michael Lathigee...

Rene Sorell, Simon Cameron, Akiva Stern, Cristian O. Blidariu.

IIROC Advances Two New Forms of Disciplinary Action

Canada - May 1 2019 In a recent Notice (the 2019 Proposals), the Investment Industry Regulatory Organization of Canada (IIROC) announced that it proposes to move forward...

Sean D. Sadler, Rene Sorell, Andrew Matheson, Cristian O. Blidariu.

When will a court order a regulator to share information in aid of litigation: Lessons from the Harrington short seller case

Canada - February 2 2019 In a recent decision, the Ontario Superior Court refused to order the Investment Industry Regulatory Organization of Canada (“IIROC”), Canada’s...

Rene Sorell, Simon Cameron.