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Searching Content indexed under Compliance by Blake, Cassels & Graydon LLP ordered by Published Date Descending.
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1
Regulators Shine Spotlight On Material Conflict Of Interest Transactions
A special committee is not required to be constituted under securities law, except in connection with insider bids subject to MI 61-101.
Canada
1 Aug 2017
2
Making A Bright Line At The Border: CSA And OSC Seek To Clarify How Canadian Securities Laws Apply To Trades Outside Canada
The new version of the Proposed Rule responds to comments the OSC received on the initial iteration published in June 2016 (2016 Proposal).
Canada
7 Jul 2017
3
Canada's Anti-Spam Legislation (CASL) Compliance Checklist For Business Transactions
Does the Target send commercial electronic messages (CEMs) from Canada and/or to recipients in Canada?
Canada
5 Jul 2017
4
New Due Diligence Guidance For Responsible Business Conduct
After several months of consultation and deliberations, the Organisation for Economic Co-operation and Development rendered public a revised draft Guidance on Due Diligence for Responsible Business Conduct.
Canada
9 Feb 2017
5
RCMP Charge Calgary Man With Conspiracy To Bribe Thai Officials
The Royal Canadian Mounted Police (RCMP) have recently laid charges against the president of a Canadian commercial aircraft company under the federal Corruption of Foreign Public Officials Act...
Canada
13 Dec 2016
6
Proposed Supervision Framework And Publishing Principles For FCAC Decisions Released For Consultation
The Consultation documents differ from the 2011 Compliance Framework and the previous Publishing Principles in several respects and this bulletin highlights some key points for regulated entities.
Canada
21 Oct 2016
7
Canada Deposit Insurance Corporation Looks To Modernize Deposit Insurance Information By-Law
The By-law currently requires members to prominently display CDIC signage at their place of business, provide CDIC brochures in branches, and post a CDIC membership notice on their websites.
Canada
3 Oct 2016
8
Attention All Canadians Who Own, Control U.K. Subsidiaries: U.K. Government Implements PSC Register
The U.K. government recently enacted amendments to the U.K. Companies Act 2006, which requires non-listed U.K. companies and limited liability partnerships to maintain and file a register...
Canada
29 Jun 2016
9
Are Mandatory Gender Diversity Targets Coming For Public Companies In Ontario?
On June 7, 2016, the Ontario government announced that it has accepted all 11 recommendations set forth in Catalyst Canada's report...
Canada
20 Jun 2016
10
Podcast: Mark Morrison On Anti-Corruption Investigations
In this podcast, Partner Mark Morrison, one of the authors of the Global Compact Network Canada's Anti-Corruption Working Group eBook, discusses the process of an anti-corruption investigation and how data privacy and local laws come into play.
Canada
17 Jun 2016
11
Tips For CRM2 Compliance
The final phase of the Canadian Securities Administrators' Client Relationship Model Project (CRM2) comes into force on July 15, 2016 when amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Companion Policy 31-103CP take effect. Below are tips for complying with three of the key changes to client reporting under CRM2.
Canada
3 Jun 2016
12
CSA's New Consultation Paper Looks To Enhance Registrants' Obligations
The Canadian Securities Administrators (CSA) recently released Consultation Paper 33-404 Proposals to Enhance the Obligations of Advisers, Dealers and Representatives Toward their Clients...
Canada
2 Jun 2016
13
What To Do When The Regulator Comes Calling
This list outlines steps to take when confronted with an external regulatory investigation or the need for an internal self-directed investigation.
Canada
12 May 2016
14
Commenters Reiterate Concerns About OSC's Proposed Whistleblower Program
In the second round of public comments on the OSC's proposed whistleblower program, stakeholders expressed continued concerns that the Program would undermine internal reporting mechanisms.
Canada
11 May 2016
15
World Bank v. Wallace: SCC Endorses Importance Of International Anti-Corruption Efforts
On April 29, 2016, the Supreme Court of Canada (SCC) upheld archival and personal immunities of an international organization (the World Bank Group) and its anti-corruption investigators.
Canada
6 May 2016
16
Amendments To The Integrity Regime – A Step In The Right Direction
On April 4, 2016, Public Services and Procurement Canada (PSPC) (formerly known as Public Works and Government Services Canada) made a number of important amendments...
Canada
6 May 2016
17
CSA Re: Non-GAAP, TSX NCIB FAQs And Other Acronyms
This bulletin addresses each of these regulatory updates and the enhanced guidance that they provide to participants in Canadian capital markets.
Canada
11 Feb 2016
18
Derivatives Trade Reporting Rules Introduced In Remaining Canadian Jurisdictions
As outlined in our May 2014 Blakes Bulletin: Overview of Canadian Derivatives Trading Reporting Obligations, Ontario, Quebec and Manitoba (Existing Jurisdictions) implemented derivatives trade reporting rules in 2014...
Canada
4 Feb 2016
19
Enterprise Risk Management
Following the corporate scandals of the early 2000s such as Enron and Worldcom, it has become critical for companies to be proactive in their focus on corporate integrity and ethics—and ERM is a crucial element.
Canada
6 Jan 2016
20
Final Competition And Compliance Framework Bulletin Released By Competition Bureau
On November 10, 2015, the Competition Bureau (Bureau) released the final version of the Competition and Compliance Framework bulletin following a period of public comment on the draft released in May 2015.
Canada
16 Nov 2015
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