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Searching Content indexed under Financial Services by Shane D'Souza ordered by Published Date Descending.
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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
2
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
3
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
4
Blockchain Applications May Be Caught By Ontario's Securities Law
The OSC has issued a press release advising stakeholders that Ontario securities law may apply to any use of distributed ledger technologies, such as blockchain, as part of financial products or service offerings.
Canada
14 Mar 2017
5
Regulatory Risks Faced By Auditors: The Calm Before The Wave?
Much ink has been spilled about the increasing prevalence of civil litigation against auditors and accountants.
Canada
8 May 2014
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