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Results: 1-10 of 67

CSA Proposes National Derivatives Business Conduct Rules - Proposed Derivatives Registration Rules to Follow Later this Year
  • McCarthy Tétrault LLP
  • Canada
  • August 10 2017

The Canadian Securities Administrators “CSA”) recently published Proposed National Instrument 93-101 Derivatives: Business Conduct and Proposed


Paving the Way for RegTech: Australian and Canadian Developments
  • McCarthy Tétrault LLP
  • Australia, Canada
  • July 17 2017

Recently, the Australian Securities and Investments Commission (ASIC), which regulates financial services and markets in Australia, provided


No Jury Trial for Securities Offences: Economic Penalties Are Not A “More Severe Punishment” Under Section 11(f) of the Charter
  • McCarthy Tétrault LLP
  • Canada
  • March 16 2017

Is a $5 million fine a less severe punishment than a night in jail? Are hefty financial penalties for quasi-criminal or regulatory offences able to


CSA’s 2016 Enforcement Report: insights into securities regulatory activity
  • McCarthy Tétrault LLP
  • Canada
  • March 7 2017

The Canadian Securities Administrators (CSA) recently released its annual report on the enforcement activities of its members. The CSA is an umbrella


Anti-Money Laundering Update: FINTRAC Releases Guidance In Respect of Politically Exposed Persons
  • McCarthy Tétrault LLP
  • Canada
  • January 3 2017

On December 20, 2016, the Financial Transactions and Reports Analysis Centre of Canada (“FINTRAC”) released new guidelines (collectively, the


FinTech in Canada
  • McCarthy Tétrault LLP
  • Australia, Canada, China, France, United Arab Emirates, United Kingdom, USA, Germany, Global, Hong Kong, India, Singapore, Switzerland
  • September 22 2016

So what is FinTech? The phrase “FinTech”, first coined by a New York banker in 1972, refers to the intersection of technology and Financial services


CSA 2015 Enforcement Report Reveals Increased Regulatory Activity and Significantly Higher Monetary Sanctions
  • McCarthy Tétrault LLP
  • Canada
  • March 10 2016

On February 23, 2016, the Canadian Securities Administrators (CSA) released its annual report on the enforcement activities of its members


Another tipping and insider trading case based exclusively on circumstantial evidence
  • McCarthy Tétrault LLP
  • Canada
  • April 15 2015

In the recent Weicker decision which followed a contested hearing, the British Columbia Securities Commission (BCSC) accepted Staff's insider


OSC again uses public interest power to impose penalty where insider trading law technically does not apply
  • McCarthy Tétrault LLP
  • Canada
  • April 1 2015

Yesterday, the OSC approved a settlement agreement between OSC Staff and Anand Hariharan in a case involving allegations of tipping, insider trading


OSC accepts circumstantial evidence of tipping and insider trading in important new decision
  • McCarthy Tétrault LLP
  • Canada
  • March 30 2015

In the recent Azeff decision which followed a contested hearing, the Ontario Securities Commission (OSC) accepted several insider tipping and