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Blog May 18, 2022

OSC outlines regulatory goals in Statement of Priorities for FY2022-2023

Osler lawyers provide their analysis of the Ontario Securities Commission’s recently published Statement of Priorities assessing issues facing...

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OSC outlines regulatory goals in Statement of Priorities for FY2022-2023
Blog April 29, 2022

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...

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Securities Commission confirms statutory confidentiality provisions apply to Staff and witnesses
Blog February 3, 2022

U.S. court ruling challenges SEC’s circumstantial insider trading evidence

A recent decision in Virginia signals the importance of the evidentiary burden in insider trading cases and could have implications for enforcement...

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U.S. court ruling challenges SEC’s circumstantial insider trading evidence
Blog December 22, 2021

Ontario Capital Markets Modernization Taskforce elicits potential enforcement changes in proposed Capital Markets Act

The draft of Ontario’s proposed Capital Markets Act includes several recommendations designed to modernize and enhance the OSC’s...

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Ontario Capital Markets Modernization Taskforce elicits potential enforcement changes in proposed Capital Markets Act
Blog December 20, 2021

Tools of the trade: OSC criminal and quasi-criminal charges result in jail terms for convicted securities fraudsters

With several tools at their disposal, Canadian securities regulators are showing their willingness to safeguard their capital markets however they...

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Tools of the trade: OSC criminal and quasi-criminal charges result in jail terms for convicted securities fraudsters
Osler Update December 13, 2021

A dynamic year for capital markets enforcement

Despite ongoing pandemic-related slowdowns, 2021 saw significant capital markets enforcement activity from regulators and prosecutors, including...

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Osler Update December 13, 2021

White-collar defence: Increasing risks and enforcement activity

For businesses, this year was marked by continued increases in compliance risks relating to the ongoing global COVID-19 pandemic.

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Osler Update December 13, 2021

Financial services regulation in 2021: Back to business

After the tumult of 2020, 2021 was marked by a return to regulatory functions, as well as growth in key areas.

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Osler Update December 9, 2021

Staff successfully appeals decision of its own self-regulatory organization

Staff of the Mutual Fund Dealers Association of Canada successfully appealed a decision of its own self-regulatory organization hearing panel last...

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Blog December 8, 2021

CFTC announces record-breaking whistleblower award: Does it raise the bar for incentivizing whistleblowing?

The U.S. Commodity Futures Trading Commission recently announced the largest payout ever given to a single whistleblower under the Dodd-Frank Program...

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CFTC announces record-breaking whistleblower award: Does it raise the bar for incentivizing whistleblowing?

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