Results 1 to 5 of 18

Canada’s first criminal conviction for insider trading

Canada - March 4 2010 Canada's first criminal conviction for illegal insider trading has resulted in a 39 month prison sentence for the accused, Stan Grmovsek, who pleaded guilty on November 6, 2009.

Shawn L. Graham

The costly consequences of inadequate supervision

Canada - June 7 2011 A recent decision by the Ontario Superior Court of Justice in Straus Estate v. Decaire, 2011 ONSC 1157 (“Straus”) serves to reiterate the importance of ensuring that compliance policies and proper training of sales representatives are practiced at the branch level.

Jessica Zagar

It's the OSC... what should I expect?

Canada - April 28 2010 Cassels Brock & Blackwell LLP has prepared this brief practical guide for market participants who receive a notice of hearing and statement of allegations from the Ontario Securities Commission (the "Commission").

Supreme Court lays out clear disclosure obligations for public issuers

Canada - May 27 2011 The Supreme Court has dismissed a shareholders' action in which a public issuer was accused of failing to include details of a conflict of interest in its disclosure.

Peter Henein, Daniel Waldman

Know your client - not intimately!

Canada - December 21 2009 We all know that doctors risk losing their license to practice medicine if they engage in intimate relations with their patients, but what happens to investment or financial advisors when they get "involved" with clients?