Alexander Cobb Alexander Cobb

OSC settles allegations relating to cryptocurrency tokens

In a first, Ontario’s Capital Markets Tribunal has approved a settlement agreement related to the promotion and sale of cryptocurrency tokens....

Capital markets enforcement: innovative, and controversial, new directions

There were a number of intersecting trends in the capital markets regulatory and enforcement landscape in 2023. These trends can serve as a window...

Canadian securities regulators publish results of review of conflicts of interest practices

On August 3, 2023, Canadian securities regulators released the findings of their joint review of conflicts of interest practices at 172 investment...

Capital Markets Tribunal highlights importance of precision in requests for additional disclosure

Ontario’s Capital Markets Tribunal recently denied a respondent’s request for additional disclosure from OSC Staff regarding an alleged...

Ontario’s new Capital Markets Tribunal weighs circumstantial evidence in insider trading decision

Allegations of insider trading and tipping can be difficult to prove. Osler’s Lawrence Ritchie, Alex Cobb, Marleigh Dick, Jayne Cooke and...

Securities Commission confirms statutory confidentiality provisions apply to Staff and witnesses

An Ontario Securities Commission hearing panel recently found that Staff improperly disclosed confidential witness testimony. Does this signal a...

The perils of asserting privilege

Canadian courts — up to and including the Supreme Court of Canada — have confirmed that solicitor-client privilege is a substantive...