Search
Searching Content indexed under Securities by McCarthy Tétrault LLP ordered by Published Date Descending.
Links to Result pages
 
1 2 3 4 5 6 7 8 9 10 11 . . .  
>>Next
 
Title
Country
Organisation
Author
Date
1
SEC Issues "No-Action" Letter In Connection With The Sale Of Digital Tokens By Pocketful Of Quarters
On July 25, 2019, the Division of Corporate Finance of the United States Securities and Exchange Commission (the "SEC") issued a response that it will not recommend enforcement
Canada
29 Aug 2019
2
CSA Published Guidance On Expectations For Compliance Consultants Performing Regulatory Mandates
On August 22, the Canadian Securities Administrators (CSA) issued guidance for regulated securities firms such as portfolio managers
Canada
28 Aug 2019
3
OSC And CSA Publish Priorities For The Coming Years
Each year the Ontario Securities Commission (the "OSC") publishes its Statement of Priorities outlining its goals and priorities for the current fiscal year.
Canada
26 Aug 2019
4
IIROC Proposes Significant Changes To Continuing Education Rules
Each CE requirement may be met by taking one course, or a series of eligible courses.
Canada
9 Aug 2019
5
SEC/FINRA Joint Statement On Broker-Dealer Custody Of Digital Asset Securities
On July 8, 2019, the SEC and FINRA issued a news release to address concerns regarding the applicability of U.S. federal securities laws to the intermediation and custody of digital assets.
Canada
31 Jul 2019
6
A Global Review Of The Regulatory Considerations Relating To Crypto-Asset Trading Platforms
In May 2019, the International Organization of Securities Commissions (IOSCO) published a consultation paper entitled Issues, Risks and Regulatory
Canada
22 Jul 2019
7
CSA Proposes Streamlining Of Rules For At-The-Market Offerings
On May 9, 2019, the Canadian Securities Administrators ("CSA") published proposed amendments (the "Proposed Amendments") for a 90-day comment period
Canada
22 Jul 2019
8
Global Financial Innovation Network Releases One Year On Report
On June 25, 2019, the Global Financial Innovation Network ("GFiN") published a report reflecting on its activity over the past year entitled "GFiN - One Year On".
Canada
15 Jul 2019
9
Ontario Is Not A "Universal Jurisdiction" Under The Ontario Securities Act: Leave To The SCC Denied In Yip v. HSBC Holdings
On March 28, 2019, the Supreme Court of Canada denied leave to appeal in Yip v. HSBC Holdings plc, 2019 CanLII 23866, leaving standing the Ontario Court of Appeal's decision in Yip v. HSBC Holdings plc, 2018 ONCA 626...
Canada
11 Jul 2019
10
Innovative Deal Structuring: Transferring Deal Value Prior To Obtaining Merger Control Approval
On June 10th 2019, the United States antitrust agencies announced a US$5 million settlement with two companies, Canon and Toshiba, in respect of allegations that the companies deliberately avoided obligations to report...
United States
8 Jul 2019
11
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
12
Foresight 2020: IIROC Publishes Its Priorities For Fiscal 2020
Recently, the Investment Industry Regulatory Organization of Canada (IIROC) published its regulatory priorities for fiscal 2020 and a three-year strategic plan.
Canada
21 Jun 2019
13
FINTRAC And IIROC Strengthen Information Sharing With Enhanced Memorandum Of Understanding
On May 30, 2019, the Financial Transactions and Reports Analysis Centre of Canada (FINTRAC) and the Investment Industry Regulatory Organization of Canada (IIROC)
Canada
14 Jun 2019
14
Reducing Regulatory Burden - Highlights From The OSC's Third And Final Roundtable
As discussed in our recent posting, the Ontario Securities Commission (OSC) has identified regulatory burden reduction as one of its key priorities for the coming year
Canada
14 Jun 2019
15
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
16
CSA To Reboot Electronic Document Filing Systems Starting In 2021
The Canadian Securities Administrators (CSA) are proposing to replace CSA national systems starting in 2021 with a more centralized CSA IT system (the 2021 System).
Canada
31 May 2019
17
Takeaways From The OSC's Second Roundtable On Reducing Regulatory Burden
As discussed in our recent posting, the Ontario Securities Commission (OSC) has identified regulatory burden reduction as one of its key priorities for the coming year.
Canada
28 May 2019
18
SEC Issues Framework For "Investment Contract" Analysis Of Digital Assets
On April 3, 2019, the Strategic Hub for Innovation and Financial Technology – known as "FinHub" – of the U.S. Securities and Exchange Commission published a "Framework for ‘Investment Contract' Analysis of Digital Assets"
Canada
15 May 2019
19
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
20
The U.S. Supreme Court Expands The Scope Of Securities Fraud Liability
If an individual is not the "maker" of a false or misleading statement under Janus Capital Group v. First Derivative Traders, 564 U.S. 135 (2011),
United States
3 May 2019
Links to Result pages
 
1 2 3 4 5 6 7 8 9 10 11 . . .  
>>Next