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insider trading

By Occasional Contributors | 6 Minutes Read April 7, 2020

Protecting Canadian public companies from the potential class action fallout of COVID-19

One of the key metrics to determining how attractive a target a company is for class action lawyers is the length of the anticipated "class period" – i.e. the period between the date of the first misrepresentation and the date of the corrective disclosure.

Article by Occasional Contributors / Business, Finance and Accounting / commercial litigation, force majeure, insider trading, risk disclosure, shareholder value

By Occasional Contributors | 3 Minutes Read March 14, 2019

Apple lawyer charged with insider trading

The recent insider trading case of a former senior lawyer at Apple Inc. serves as a reminder that those tasked with upholding a company’s insider trading rules are expected to ‘walk the walk’ when it comes to complying with ethical and legal obligations in handling confidential information. This case and similar prior cases remind us that counsel and firms ought to be vigilant and take proactive steps to monitor and enforce insider trading programs.

Article by Occasional Contributors / Business, Finance and Accounting / insider trading, managing external risk, managing internal risk, regulatory compliance and enforcement

By Occasional Contributors | 3 Minutes Read June 28, 2018

Working together works: Ontario Securities Commission approves reduced sanction for insider tipper who cooperated with investigation

The OSC recently approved a settlement agreement in which the respondent admitted to providing material non-public information to a third party. The order in Re Hutchinson, which did not include an administrative penalty or disgorgement of profits, was held to be in the public interest given the respondent’s cooperation and other mitigating factors.

Article by Occasional Contributors / Business, Finance and Accounting, Not for Profit, Privacy / administrative penalties, disgorgement of profits, insider tipping, insider trading, Internal Controls, misconduct, mitigating factors, Ontario Securities Act, Ontario Securities Commission, OSC, reduced sanction, Revised Credit for Cooperation Program, securities act, settlement agreement, willingness to testify

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