Securities
Accounting for Law
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Defensive tactics to defend against an unsolicited take-over bid

By Cameron MacCarthy and Joe Rattan Recent changes  to Canadian securities laws (as of May 2016) have created longer time frames and higher tender bid thresholds, ... Read more

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Streamlining welcome, but OSC should be allowed to order costs

Recent changes proposed by the Ontario Securities Commission (OSC) that aim to address the reality of self-represented litigants in securities proceedings are welcome, but in the ... Read more

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Recent appeals offer insights into insider trading law

In its recent decisions in two insider trading appeals, the Ontario Divisional Court not only reinforced certain legal principles, but also highlighted the difficulty ... Read more

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Wright to continue role on OSC advisory committee

Toronto civil litigator  Janice Wright  is continuing on as a member of Ontario Securities Commission’s Securities Proceedings Advisory Committee (SPAC), of ... Read more

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Court sets aside OSC sanctions against 'outside insider'

A former investment advisor who successfully had sanctions against him set aside by the Ontario Divisional Court was ‘the most outside insider’ ever to have been ... Read more

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Ruling sets aside insider trading sanctions against adviser

The Ontario Divisional Court has set aside sanctions imposed by an Ontario Securities Commission (OSC) panel against a former investment adviser alleged to have engaged in insider ... Read more

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Sanctions the real test of whistleblower program success

TORONTO – The head of Ontario's securities watchdog says its new whistleblower program can play a role in identifying misleading financial disclosures amongst the growing ... Read more

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Canadian companies may feel impact of U.S. 'Yates Memo'

A U.S. directive that sets out a higher threshold for companies to be eligible for any credit for disclosing information in cases of alleged corporate wrongdoing ... Read more

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OSC whistleblower policy not a game changer: Radnoff

It would be optimistic to call the Ontario Securities Commission’s (OSC) new whistleblower program a ‘game-changer’ with respect to its role in preventing fraud, ... Read more

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Proposed fee ban latest in 'dizzying array' of industry reforms

A plan by Canada’s securities regulators to consider banning embedded fees in mutual funds is concerning to the investment industry, as it comes on the heels of ... Read more

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It's unclear if lack of reward will hamper whistleblower program: Wright

Through its newly-launched whistleblower program, the Quebec financial regulator hopes to identify more offences and better protect individuals who report wrongdoing — but ... Read more

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OSC whistleblower policy should prompt review of procedures

With the Ontario Securities Commission (OSC) set to open its ‘ Office of the Whistleblower’  this summer, all regulated entities should now be reviewing ... Read more

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Increased reporting requirements for exempt market distributions

By Cameron MacCarthy and Adam Rock Effective June 30, 2016, issuers will be subject to increased reporting requirements for exempt market distributions with the ... Read more

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‘Best interest standard’ raises questions for stakeholders

A proposed regulatory ‘best interest standard’ that aims to enhance the obligations of advisers, dealers and representatives toward their clients may actually cause ... Read more

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OSC moving slowly in right direction but questions remain

The Ontario Securities Commission's (OSC) annual summary report suggests the regulator is moving in the right direction, but there are lingering questions around whether it has ... Read more

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Guest lecture to focus on securities law issues

Toronto civil litigators  Janice Wright  and  Greg Temelini  will share their expertise with students in the securities law course at the University of Toronto ... Read more

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OSC ushering in new era of enforcement

Following underwhelming results from American-style prosecutions in the 1990s and 2000s, the Ontario Securities Commission’s (OSC) renewed efforts to be seen as a ... Read more

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OSC settlement sends strong message to firms

The Ontario Securities Commission’s (OSC) move to approve a large no-contest settlement with an investment firm should serve as an example to other institutions ... Read more

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Supreme Court rules on securities class action limitations

By Brian Radnoff In  Canadian Imperial Bank of Commerce v. Green, 2015 SCC 60  ( Green ), the Supreme Court of Canada (SCC) ruled on the limitation periods for ... Read more

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Market needs clarity on OSC's broad records requirement

Although an amendment to the Ontario Securities Act recently passed with no debate, it creates a new, unclear obligation for market participants in terms ... Read more

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