Corporate and Securities Disputes

OSC proposes restrictions on use of DSC option in the sale of mutual funds

The Ontario Securities Commission has published for comment proposed Ontario Securities Commission Rule 81-502 Restrictions on the Use of the...

CSA finalizes client focused reforms to Canadian securities registration rule

On October 3, 2019, the Canadian Securities Administrators (CSA) published Reforms to Enhance the Client-Registrant Relationship (Client Focused...

Settlement establishes compensation fund for PlexCoin ICO investors

A U.S. District Court has approved a settlement between the Securities and Exchange Commission (SEC) and the directing minds behind the PlexCoin...

Deviating from Whistleblower Programs may have more risk than payoff

The whistleblower at the heart of the multi-billion dollar Madoff fraud has set his sights on a new target; General Electric Co. Harry Markopolos is...

OSC Burden Reduction Initiative – Revisiting the 2003 Regulatory Burden Task Force

As the OSC continues to embark on its Burden Reduction Initiative, we think it is a worthwhile exercise to look back at the Commission’s 2003...

OSC Burden Reduction Initiative – Rules-based versus principle-based regulation

As the Ontario Securities Commission (“OSC”) considers how best to implement its burden reduction initiative, there has been significant...

OSC’s Investor Advisory Panel releases 2018 Annual Report

The challenge of understanding the unique perspectives of consumer level investors led the Ontario Securities Commission (OSC) to establish the...

UK SFO Speeding Up Investigations

The Director of the U.K.’s Serious Fraud Office (the “SFO”) – the U.K’s primary enforcement authority for economic...

Canada proposes changes to withholding tax on dividend equivalent payments

The Canadian federal budget tabled on March 19, 2019, contains important tax changes relevant to participants in the stock lending market.