Des amendes totalisant plus de 1 G$ US infligées récemment aux États-Unis dans le cadre d’une série de règlements liés à des manquements aux exigences relatives à la tenue de documents rappellent aux maisons de courtage...more
A series of recent settlements in the United States relating to record-keeping violations, with fines totalling over US$1-billion, offer a reminder to Canadian securities firms of the importance of supervising the forms of...more
The Ontario government has amended Ontario’s Securities Act (Act) to expand the scope of prohibited insider trading and enhance the record-keeping requirements imposed upon capital market participants in the province. This...more
The Ontario government has amended Ontario’s Securities Act (Act) to expand the scope of prohibited insider trading and enhance the record-keeping requirements imposed upon capital market participants in the province. This...more