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Searching Content indexed under Finance and Banking by Gillian Dingle ordered by Published Date Descending.
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Public Naming Now Mandatory For Violations Of Anti-Money Laundering Laws
The naming provisions of the Proceeds of Crime (Money Laundering) and Terrorist Financing Act (PCMLTFA) were amended on June 21 when Bill C-97
Canada
15 Jul 2019
2
In-House Counsel And Insider Trading: What Can We Learn From Recent Case Law?
Two recent insider trading cases involving internal counsel, one on each side of the border, serve as a reminder of the high standards to which regulators hold internal counsel, and the importance of robust insider trading policies.
Canada
22 May 2019
3
Enforcing Advisor Loans
Will courts give weight to regulatory findings and sanctions when considering an advisor's claim that they have been wrongfully dismissed in the face of a dealer's attempt to enforce repayment
Canada
1 Feb 2019
4
Future Uncertainty: Forecasts In IPO Prospectuses
Although not required by law, the inclusion of financial forecasts in Canadian IPO prospectuses has become commonplace–a necessary tool to market and price an offering successfully.
Canada
29 Jan 2019
5
Conflicts Of Interest Remain A Regulatory Focus
Regulators continue to focus on real and perceived conflicts of interest, whether as between individual advisers and their clients, or as between registered portfolio managers and affiliates.
Canada
5 Dec 2018
6
High Regulatory Standards For Experienced Registrants & Compliance With Client Reporting Obligations: IIROC V. Sutton
What is the standard expected of a dealer employee who is tasked with pricing securities for client reporting, and the compliance standard for reviewing that work? Can seniority affect the standard...
Canada
17 Sep 2018
7
OSC Annual Summary Report For Dealers, Advisers And Investment Fund Managers
The OSC released its annual report from the Compliance and Registrant Regulation branches on August 23.
Canada
9 Sep 2018
8
Supreme Court Of Canada Clarifies Assessment Of Materiality
On May 11, 2011, the Supreme Court of Canada released its decision in the class action proceeding Sharbern Holding Inc. v. Vancouver Airport Centre,1 in which it assessed materiality in the context of disclosure to investors.
Canada
17 May 2011
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