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Risk Management and Crisis Response Blog

Articles: 1-10 of 282

Ontario Securities Commission provides guidance on ‘trading relationship’ and defence of reliance on legal advice

Canada - June 1 2022 On March 28, 2022, the Ontario Securities Commission (OSC) released a merits decision in the case of Solar Income Fund (Re). The decision provides…

OSC outlines regulatory goals in Statement of Priorities for FY2022-2023

Canada - May 18 2022 On April 26, 2022, the Ontario Securities Commission (OSC) published its Statement of Priorities [PDF] (the Statement) for the fiscal year ending…

The AMF must conduct its investigations with ‘rigour, diligence and celerity’

Canada - April 7 2022 These are the words of the Tribunal administratif des marchés financiers, when it reminded the Autorité des Marchés Financiers that a freeze order is…

New emergency measures: implications for financial services providers

Canada - February 16 2022 In response to the ongoing blockades and protests against pandemic restrictions, on February 14, 2022, the federal government invoked the Emergencies…

New emergency measures: implications for financial services providers

Canada - February 16 2022 In response to the ongoing blockades and protests against pandemic restrictions, on February 14, 2022, the federal government invoked the Emergencies…

Ontario Capital Markets Modernization Taskforce elicits potential enforcement changes in proposed Capital Markets Act

Canada - December 22 2021 On October 12, 2021, the Government of Ontario published a draft of its proposed Capital Markets Act (the CMA), an ambitious new piece of legislation…

CFTC announces record-breaking whistleblower award: Does it raise the bar for incentivizing whistleblowing?

Canada, USA - December 8 2021 The U.S. Commodity Futures Trading Commission (the CFTC) recently made history by announcing the largest payout ever given to a single…

Move towards stablecoin regulation picks up pace in U.S.

USA - December 6 2021 Regulators and policy makers across the world continue to focus on stablecoins, which are cryptoassets pegged to the value of the U.S. dollar or…

The pursuit of protection and deterrence: the OSC finds MFDA panel erred in failing to impose a fine

Canada - November 23 2021 Last month, the Ontario Securities Commission (the OSC) ruled that a hearing panel of the Mutual Fund Dealers Association of Canada (the…

Fidelity approved as first IIROC member to offer crypto trading and custody to institutional clients

Canada - November 22 2021 On November 16, Fidelity Clearing Canada ULC (FCC) received regulatory approval from the Canadian Securities Administrators (CSA) Decision: In the…