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Searching Content indexed under Securities by Trevor Courtis ordered by Published Date Descending.
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1
The AMF Launches Whistleblower Program
The protection of confidentiality, according to the AMF, is the primary motivation for whistleblowers to report incidents.
Canada
29 Jun 2016
2
Why Securities Regulators Can't Collect Monetary Sanctions, And What They Plan To Do About It
Securities regulators across Canada impose significant monetary sanctions against market participants each year.
Canada
17 Mar 2016
3
CSA 2015 Enforcement Report Reveals Increased Regulatory Activity And Significantly Higher Monetary Sanctions
CSA released its annual report on the enforcement activities of its members. Enforcement and pre-enforcement activity has increased significantly in 2015.
Canada
15 Mar 2016
4
Alberta Court Of Appeal Upholds The Sharing Of Compelled Information With Foreign Authorities
The governing statutes of the ASC and other securities commissions in Canada grant powers to compel testimony and documents through summonses.
Canada
22 Jan 2016
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