Follow

Risk Management and Crisis Response Blog

Articles: 1-10 of 254

Is Canada rising to the challenge? Responding to calls for more effective financial crime prevention and enforcement

Canada - May 6 2021 As we have observed in a number of our prior posts (e.g., our post illustrating Canada’s drop from the top 10 least corrupt countries in Transparency…

A look back at IIROC’s enforcement activities: Early resolution offers, more sanctions, and more hearings

Canada - April 27 2021 The COVID-19 pandemic brought with it a host of novel issues that have had an impact on markets, companies, investors and consumers. Without a doubt…

Canada’s budget introduces long-awaited beneficial ownership registry to combat money laundering

Canada - April 27 2021 With increasing spotlight being shone on the prevalence of financial wrongdoing worldwide - especially following revelations arising from information…

Ontario Capital Markets Modernization Taskforce: Road to implementation?

Canada - March 30 2021 Ontario’s Capital Markets Modernization Taskforce (the Taskforce) received a show of confidence from the Government of Ontario through the release…

Three week countdown for Canadian digital asset trading platforms to start getting registered under securities laws

Canada - March 30 2021 On March 29, 2021, the Canadian Securities Administrators (CSA) and the Investment Industry Regulatory Organization of Canada (IIROC) jointly…

Market Manipulation: Alberta Securities Commission clamps down on pump and dump scheme

Canada - March 23 2021 The Alberta Securities Commission (the “ASC”) recently issued its reasons in Re Kilimanjaro Capital Ltd., 2021 ABASC 14 (the “Decision”). The ASC…

World bank debars German company for thirteen months

Canada - March 9 2021 In addition to mitigating regulatory risks that can lead to the imposition of fines and imprisonment arising from conviction under relevant law…

Ontario Capital Markets Modernization Taskforce: A set of thoughtful ideas or a blueprint for change?

Canada - February 26 2021 The Ontario Capital Markets Modernization Taskforce (the “Taskforce”) published [PDF] its final report on January 22, 2021 (the “Final Report”)…

Mandatory vaccinations for employees: What are the issues?

Canada - February 10 2021 While Canada is still in the early stages of its COVID-19 vaccine rollout, given the limited availability and potential interruptions in vaccine…

Regulators forced to respond to GameStop Corp.’s historic yo-yo

Canada, USA - February 4 2021 Wall Street has been in a state of disorder in recent weeks as the share price of brick and mortar retailer GameStop Corp. (“GameStop”) continues to…