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regulatory compliance and enforcement

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 March 5, 2019

Recent guilty plea demonstrates that criminal liability for corruption may extend to corporate officers

Corporate criminal liability in Canada was expanded in 2013 following the R. v. Pétroles Global decision, which established that the “directing minds” of the corporation may be seated in the persons of middle management for purposes of establishing criminal liability of the company.

Article by Occasional Contributors / Business / bribery, compliance, corporate officers, corruption, Criminal liability, regulatory compliance and enforcement, SNC-Lavalin

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