‘Enforcement 40’ for 2020
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By Securities Docket on March 12, 2014, 7:51 am
The Ontario Securities Commission has decided to let some individuals and companies settle misconduct disputes with the regulator without formally having to admit to any wrongdoing. via OSC to accept ‘no-contest’ settlement agreements — CBC News.
By Securities Docket on September 20, 2013, 1:43 pm
Its original plan for a national securities regulator was rejected by the Supreme Court of Canada, so the Canadian government has decided to take a new approach to the issue. Yesterday Canadian officials announced that the government will join with the provinces of British Columbia and Ontario to form a “cooperative” agency, and that all […]
By Securities Docket on June 17, 2013, 6:49 am
Canada’s stock market watchdog has created a new unit with the power to use wiretaps and surveillance to tackle fraud and white-collar crime in the criminal court system. The Ontario Securities Commission said Friday that its new joint serious offences team will focus on the “street crime” of the financial world — ponzi schemes and […]
By Securities Docket on April 19, 2013, 3:10 pm
The Alberta Securities Commission (ASC) has dismissed all allegations against Donald A.W. Keith , Mary Lee Keith , Michael Brian McCue and Arthur Allan McCue that, among other things, they breached Alberta securities laws by engaging in illegal insider trading in shares of former Calgary-based oil and gas company Berens Energy Ltd. via ASC dismisses […]
By Securities Docket on January 15, 2013, 8:36 am
Nortel’s former chief executive, chief financial officer, and corporate controller found not guilty of misstating Nortel’s financial results between 2000 and 2004.
By Securities Docket on June 29, 2012, 12:12 pm
Panel finds Joe Groia committed professional misconduct for the tone and language he used in Bre-X case.
By Securities Docket on June 19, 2012, 12:49 pm
Alberta Securities Commission finds Richard Gary Nash had insider knowledge when he sold 1.2 million shares.
By Securities Docket on June 11, 2012, 12:14 pm
Canadian case alleges company worked together with its banks to distribute incomplete and inaccurate financial information.
By Securities Docket on March 27, 2012, 12:18 pm
Ontario Securities Commission rethinking its future approach to regulation.