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Searching Content indexed under Securities by Gillian Dingle ordered by Published Date Descending.
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1
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
OSC Dismisses Insider Trading And Tipping Case In Re Soave
A key component of illegal insider trading is that the trader—or person who tipped the trader—is in a "special relationship"
Canada
13 Feb 2019
4
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
5
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
6
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
7
OSC Weighs FOI Requests Against Protected Information
Can the confidentiality protections under the Securities Act (Act) shield evidence from disclosure in freedom of information requests?
Canada
15 Oct 2018
8
High Standards Expected For Experienced Registrants And Compliance With Client Reporting Obligations In 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?
Canada
18 Sep 2018
9
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
10
Court Of Appeal Limits Auditor Liability To Non-Clients
On September 5, Ontario's Court of Appeal released its decision in Lavender v. Miller Bernstein LLP,1 which considered the duty of care owed by an auditor to non-clients.
Canada
11 Sep 2018
11
Liability For Misuse Of Non-Public Information In OSC v. Volk
Volk was the general counsel (GC) of an issuer, a public energy company.
Canada
27 Jul 2018
12
A Comparative Analysis Of Underwriter Liability In The U.S. And Canada
On both sides of the border, securities class actions remain relatively common.
Canada
24 Jul 2018
13
Limitation Periods In Investment Losses: Rotzang v. CIBC World Markets Inc.
When does a limitation period begin for an investment loss claim where the client continues to have an account with an investment firm but receives no advice and does no trading in that account?
Canada
11 Jul 2018
14
Improving The Client-Registrant Relationship: New Proposals From The CSA
On June 21, the Canadian Securities Administrators (CSA) published two notices on investor protection initiatives: one setting out the CSA's "intended policy decision" with respect to mutual fund...
Canada
29 Jun 2018
15
Limitation Periods In Investment Losses: Case Comment On Rotzang v. CIBC World Markets Inc.
When does a limitation period begin for an investment loss claim where the client continues to have an account with an investment firm but receives no advice and does no trading in that account?
Canada
27 Jun 2018
16
Court Of Appeal Confirms Application Of Statutory Limitation Period Applicable To Securities Class Actions
In Kaynes v. BP PLC, the Ontario Court of Appeal considered the interaction between the three-year limitation period for secondary market claims under the Securities Act ...
Canada
11 Apr 2018
17
Court Of Appeal Confirms Application Of Statutory Limitation Period Applicable To Securities Class Actions
In Kaynes v. BP PLC,1 the Ontario Court of Appeal considered the interaction between the three-year limitation period for secondary market claims under the Securities Act and the court's discretion under that regime...
Canada
11 Apr 2018
18
Who's On The Hook With "Off-Book" Investments?
Lewis was the broker of record of a mother and her two adult children for many years. The broker was associated with a number of securities dealers ...
United States
7 Nov 2017
19
Securities Class Actions – Underwriter Duty Of Care: LBP Holdings V. Hycroft Mining
In LBP Holdings Ltd. v. Hycroft Mining Corporation, 2017 ONSC 6342, the Ontario Superior Court declined to certify a securities class action brought against underwriters ...
Canada
3 Nov 2017
20
"Off-book" Investments: Case Comment On Mulley v Lewis
When is a securities dealer vicariously liable for the misconduct of an employee broker relating to "off-book" investments?
Canada
4 Sep 2017
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