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Searching Content indexed under Securities by Christopher Caparelli ordered by Published Date Descending.
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1
U.S. Private Funds Watch: 2019 Regulatory Considerations
Earlier than what has been typical in other years, on December 20, 2018, the SEC's Office of Compliance Inspections and Examinations (OCIE) ...
United States
29 Jan 2019
2
A Comparative Analysis Of Underwriter Liability In The U.S. And Canada
On both sides of the border, securities class actions remain relatively common.
Canada
24 Jul 2018
3
Courts On Both Sides Of The Border Clarify Law Of Tipping
On December 6, the Ontario Divisional Court released its decision in Finkelstein v. Ontario, an appeal from the high-profile decision of the Ontario Securities Commission holding that a Bay Street lawyer...
Canada
14 Dec 2016
4
Sovereign Wealth Fund Not Immune From U.S. Securities Fraud Suit
A U.S. court has ruled that a sovereign wealth fund is subject to U.S. securities fraud claims when U.S. investors rely on misrepresentations by the fund.
United States
13 Mar 2016
5
Bank's Internships Violate Foreign Corrupt Practices Act
The BNY Mellon situation is noteworthy for several reasons.
Canada
29 Sep 2015
6
U.S. Supreme Court Provides More Room To Challenge Certification Of Disclosure Class Actions
On June 23, 2014, the U.S. Supreme Court released its decision in Erica P. John Fund, Inc. v. Halliburton (Halliburton).
Canada
7 Jul 2014
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