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1
Investment Canada Act Annual Report Provides New Insights Into The Small Number Of Transactions That Have Raised National Security Concerns
On March 1, 2019, the Director of Investments filed the annual report on the administration of the Investment Canada Act (the Act) for the fiscal year ending March 31, 2018 (Fiscal 2018) ...
Canada
25 Mar 2019
2
Alberta Securities Commission Implements Whistleblower Program
On November 20, 2018, the Alberta Securities Commission (ASC) announced the creation of its whistleblower program and the Office of the Whistleblower (OWB).
Canada
29 Nov 2018
3
CSA Reconsiders Disclosure Policy For Marijuana Companies
On February 8, 2018, the Canadian Securities Administrators (the CSA) released a revised "CSA Staff Notice 51-352 Issuers with U.S. Marijuana-Related Activities."
Canada
16 Feb 2018
4
Securities Commission Staff Raise The Bar For Conflict Transactions
In an important Staff Notice (Notice) [PDF] published on July 27, 2017, staff of the securities regulatory authorities in each of Ontario, Québec, Alberta, Manitoba and New Brunswick...
Canada
14 Aug 2017
5
Québec Government Announces Strategy To Keep Head Offices In Québec
On February 21, 2017, the Government of Québec (the Government) released a Plan to Strengthen the Québec Economy as an Executive-Driven Economy (the Plan).
Canada
10 Mar 2017
7
U.S. Department Of Labour Fiduciary Rule Survives First Legal Challenge
On November 5, 2016, the United States Department of Labour's Fiduciary Rule for retirement accounts survived the first of a series of legal challenges at U.S. District Court in California.
Canada
17 Nov 2016
8
‘A New Day Has Arrived': Continued Focus On Individual Wrongdoing
The "Yates Memo," which instructs United States prosecutors to focus on individual wrongdoers when investigating or prosecuting alleged corporate misconduct...
Canada
11 Nov 2016
9
Penalties Assessed For Untimely Disclosure Of Liabilities Arising From An Investigation
On September 9, 2016, the United States Securities and Exchange Commission ("SEC") charged RPM International Inc. ("RPM") with failing to make proper disclosure.
Canada
26 Oct 2016
10
SEC Cracks Down On Whistleblower Retaliation As OSC Whistleblower Program Ramps Up
On September 29, 2016 the SEC announced that it had issued orders in relation to settled proceedings with casino-gaming company, IGT, in relation to charges of whistleblower retaliation.
Canada
20 Oct 2016
11
Is There A New "AllStar" Standard For Franchise Disclosure?
Ontario's already onerous franchise disclosure requirements may have just been further complicated, based on a recent decision of the Ontario Superior Court.
Canada
30 Sep 2016
12
Canadian Government Publishes Consultation Paper For A Review Of The Legislative And Regulatory Framework Of Canada's Financial Sector
Officers, Directors of regulated businesses and advisors must keep up with evolving regulatory and other policy priorities as a matter of effective risk management.
Canada
22 Sep 2016
13
DOJ's Major Insider Trading Victory: A Blueprint For Post-Newman Convictions?
Improper disclosure of confidential information and insider trading remains very much a focal point for regulators and prosecutors on both sides of the border.
Canada
12 Sep 2016
14
SEC Enters Into Two Non-Prosecution Agreements For Alleged FCPA Violations
In June 2016 the US Securities and Exchange Commission (SEC) announced that it had entered into two non-prosecution agreements (NPAs) with two unrelated companies whose foreign subsidiaries...
Canada
1 Sep 2016
15
SEC Continues To Penalize Companies Which Restrict Whistleblowing Or Seek Waiver Of Payment Of Whistleblower Incentive Payments
Moreover, employees were only permitted to provide information if compelled to do so by law or legal process and there was no exemption to permit an employee to provide information voluntarily to the SEC...
Canada
30 Aug 2016
16
Three Scotia Dealers Reach No-Contest Settlement With OSC
On July 29, 2016, the Ontario Securities Commission approved a no-contest settlement agreement with three Bank of Nova Scotia dealers in connection with fee overcharges that had gone undetected by the dealers' internal control systems, and that had affected thousands of clients dating back to 2009.
Canada
9 Aug 2016
17
Questions Raised Over The Constitutionality Of SEC Administrative Proceedings
Canadian securities regulators overwhelmingly address regulatory non-compliance through enforcement proceedings commenced before their own adjudicative tribunals
Canada
15 Jul 2016
18
When Should Corporations Disclose Regulatory Enforcement?
A Delaware judge dismissed a lawsuit on May 16 by Wal-Mart Stores Inc. shareholders who had alleged the corporation's management had covered up and failed to properly investigate bribes paid by executives in Mexico...
Canada
9 Jun 2016
19
Feds Release Revised Draft Of Legislation To Curtail Systemic Risk In Capital Markets
In the latest step toward establishing the Cooperative Capital Markets Regulatory Authority, the Department of Finance Canada has released a revised draft of the federal Capital Markets Stability Act...
Canada
20 May 2016
20
Whistleblower Incentive Programs Continue To Gain Traction As The U.S. CFTC Announces $10-million Payout
With the Ontario Securities Commission's new incentive-based whistleblower program now on the horizon, recent awards under comparable whistleblower programs in the U.S. are increasingly relevant to boards of directors...
Canada
12 May 2016
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