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Searching Content by Shane D'Souza from McCarthy Tétrault LLP ordered by Published Date Descending.
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1
Protecting A Vendor's Privilege In M&A Sale Transactions
Canadian dealmakers should be aware of a recent decision of the Delaware Court of Chancery addressing the circumstances in which a target company's legal privilege belongs to the purchaser after a sale transaction.
Canada
18 Jul 2019
2
M&A Disputes: When Will A Corporation Be Liable For An Officer's Or Director's Fraud? Supreme Court Provides New Guidance
Should a corporation be liable for fraud committed by its director or officer where it may also have benefitted?
Canada
16 Jul 2019
3
A Dissident Note: Court Orders Disclosure of Members' Email Addresses In JAZZ.FM Proxy Contest
A recent decision of the Ontario Superior Court of Justice may have broader application in proxy fight litigation concerning shareholder lists
Canada
16 Jul 2019
4
Managing Conflicts Of Interest In Soliciting Dealer Arrangements
The Investment Industry Regulatory Organization of Canada ("IIROC") recently released a guidance note (the "Guidance Note")
Canada
3 Jul 2019
5
IIROC Releases Its Annual Enforcement Report For 2018
Earlier this month, the Investment Industry Regulatory Organization of Canada ("IIROC") published its annual Enforcement Report for 2018 (the "Report"),
Canada
18 Jun 2019
6
Securities Regulators Pursuing Disgorgement Orders In Other Jurisdictions
The British Columbia Securities Commission ("BCSC") reported earlier this month that its $21.7 million disgorgement order against Michael Lathigee was recognized by a court in Nevada where
Canada
12 Jun 2019
7
IIROC Advances Two New Forms Of Disciplinary Action
In a recent Notice, the Investment Industry Regulatory Organization of Canada (IIROC) announced that it proposes to move forward with two new disciplinary programs that were first published for public comment last year:
Canada
14 May 2019
8
OSC's $7.5 Million Whistleblower Awards A First For Canada
The OSC announced this week that it has awarded a total of $7.5 million to three whistleblowers on separate matters. These awards are the first of their kind ...
Canada
12 Mar 2019
9
When Will A Court Order A Regulator To Share Information In Aid Of Litigation: Lessons From The Harrington Short Seller Case
In a recent decision, the Ontario Superior Court refused to order the Investment Industry Regulatory Organization of Canada ("IIROC"), Canada's national self-regulatory organization policing secondary trading.
Canada
8 Feb 2019
10
Is A Promissory Note A Security? The Ontario Superior Court Has The Answer
The Ontario Superior Court recently provided guidance on whether certain secured promissory notes fell within the definition of a "security" under the Securities Act.
Canada
9 Nov 2018
11
Les personnes inscrites font face à des obligations fort accrues en vertu des modifications réglementaires proposées par les ACVM
Récemment, les Autorités canadiennes en valeurs mobilières (ACVM) ont publié aux fins de commentaires d'importantes modifications ...
Canada
17 Sep 2018
12
Registrants Face Significantly Increased Obligations Under Proposed CSA Rule Amendments
Recently, the Canadian Securities Administrators (CSA) published for comment important rule amendments to National Instrument 31-103 Registration Requirements, Exemptions & Ongoing Registrant Obligations ...
Canada
3 Aug 2018
13
Recent SEC Settlement Is Cautionary Tale For Canadian Public Issuers On Disclosure Of Cyberincidents And Related Risks
Canadian securities regulators have published notices since 2013 highlighting the importance of timely disclosure and risk disclosure by reporting issuers of cyberincidents that are material to the issuer's business
Canada
27 Jun 2018
14
Lessons In Responding To Whistleblower Complaints From Recent UK Settlement
The UK's Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) recently reached a settlement with the CEO of Barclays Group, James Staley ...
Canada
27 Jun 2018
15
Canadian Securities Administrators Provide Further Guidance On The Securities Law Implications Of Token Offerings
On June 11, 2018, staff of the Canadian Security Administrators (the "CSA") published CSA Staff Notice 46-308
Canada
27 Jun 2018
16
Serious Fraud Office And Other Investor Protection Measures Proposed In Ontario
On March 28, 2018, the Ontario government in its budget announced the following measures aimed at improving investor protection and enforcement against white-collar crime including securities law offences.
Canada
5 Apr 2018
17
First Hit Under The New Take-Over Bid Regime: Lessons From The Aurora Cannabis Bid For CanniMed
The Ontario Securities Commission and the Financial and Consumer Affairs Authority of Saskatchewan (Commissions) recently published reasons for their order on December 22, 2017.
Canada
29 Mar 2018
18
Five Key M&A Cases From 2017 To Consider This Proxy Season
Most M&A lawyers believed that the fairness opinion relied upon by InterOil's board complied with industry norms.
Canada
8 Mar 2018
19
IIROC Proposes Two New Forms Of Disciplinary Action Against Dealer Firms And Approved Individuals
Recently, the Investment Industry Regulatory Organization of Canada (IIROC) proposed two new disciplinary programs (the Programs) that will be of interest to IIROC Dealer Members and Approved Persons.
Canada
8 Mar 2018
20
IIROC Provides Additional Guidance On Proactive Management Of Cyber-related Risks
On January 18, 2018, the Investment Industry Regulatory Organization of Canada (IIROC) released its Compliance Priorities Report for 2017/2018, identifying cybersecurity as a "high priority" issue that IIROC dealer members should address to improve investor protection and foster market integrity.
Canada
27 Feb 2018
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