Capital Markets Regulatory Enforcement

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

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...

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

The Ontario Capital Markets Modernization Taskforce (the “Taskforce”) published its final report on January 22, 2021 (the...

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

Wall Street has been in a state of disorder in recent weeks as the share price of brick and mortar retailer GameStop Corp. (“GameStop”)...

OSC-FINTRAC MOU for information sharing

On December 3, 2020 the Ontario Securities Commission (OSC) and Financial Transactions and Reports Analysis Centre of Canada (FINTRAC) announced that...

OSC seeks input on priorities for 2021-2022

The Ontario Securities Commission (“OSC”) recently issued its 2021-2022 Draft Statement of Priorities for comment (the “Draft...

Key developments in white-collar defence

This year was marked by uncertainty and increased risk for businesses as a result of the COVID-19 pandemic.

Evolving capital markets regulatory enforcement

Even prior to the impacts of COVID-19, change was on the horizon for capital markets enforcement in 2020.

U.S. securities law developments in 2020

In 2020, the Securities and Exchange Commission (SEC) continued to focus on streamlining and modernizing disclosure requirements and expanding access...

IIROC Rules: Respondent use of complainant interview in related proceeding is in the public interest

In Re Malic, 2020 IIROC 37, a decision released on October 6, 2020, the IIROC Hearing Panel (Alberta District) (the “Hearing Panel”)...