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PRO Compliance | Canada, Global, USA | 20 Aug 2020

False statements and disclosure issues fuel Scotiabank’s market manipulation settlements

The Canadian bank must appoint an independent compliance monitor and hire over 200 new compliance staff as a condition of the settlements.
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AUM Law | Canada | 30 Apr 2018

Don’t Let Your Swag Drag You Down

Earlier this month, two large investment fund managers, Mackenzie Financial Corporation (Mackenzie) and Scotiabank's 1832 Asset Management LP (1832)…
Article
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MLT Aikins LLP | Canada | 6 Dec 2017

Who Bears the Risk of Cheque Fraud? The SCC Weighs In

The Supreme Court has recently found two banks liable in conversion for a $5.5 million cheque fraud carried out by a former employee of a major…
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McCarthy Tétrault LLP | Canada | 22 Feb 2017

Partnerships between Banks and Fintech Companies: A Continuing Trend for 2017

Fintech companies are offering game-changing products and services in the financial services sector, responding to customer demand for frictionless…
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Fasken | Canada | 17 Nov 2016

Supreme Court of Canada issues important ruling on disclosure and implied consent under PIPEDA

On November 17, 2016, in the decision of Royal Bank of Canada v. Trang (PDF), the Supreme Court of Canada clarified the interpretation to be given to…
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Cozen O'Connor | Canada | 27 Oct 2016

Financial Institutions Continue to Bank on Status Quo with New Round of Marijuana Account Closures

Last month, news outlets reported that Scotiabank and Royal Bank of Canada, the two top banks in Canada, ceased all business with companies in the…
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Thompson Hine LLP | USA | 25 Aug 2016

Too good to be true: dissecting the workings of an internet scam

You know those e-mails out of the blue that start “We would like to engage you to handle our $1 million legal matter”? From our friends over at…
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Gowling WLG | Canada | 18 Aug 2016

Applications for leave to appeal granted - 18 August 2016

The applicant (“Teva”) is a large manufacturer of generic pharmaceuticals. Teva and the respondent banks fell victim to a fraudulent scheme…
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Osler Hoskin & Harcourt LLP | Canada | 3 Aug 2016

Three Scotia Dealers Reach No-Contest Settlement with OSC

On July 29, 2016, the Ontario Securities Commission approved a no-contest settlement agreement with three Bank of Nova Scotia dealers in connection…
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Morvillo Abramowitz Grand Iason & Anello PC | USA | 20 May 2016

Accessing Records With Bank of Nova Scotia Summonses

In a recent interview for this column,Caroline D. Ciraolo, the Acting Assistant Attorney General for the Tax Division of the Department of Justice…
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