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securities act

By Occasional Contributors | 3 Minutes Read August 27, 2019

Blockchain company and CEO to pay over $1M for misleading investors

The OSC has approved a settlement agreement with NextBlock Global Limited and its founder and CEO, Alex Tapscott, in connection with misleading statements made to prospective investors in 2017.

Article by Occasional Contributors / Business, Finance and Accounting, Privacy / marketing, NextBlock Global Limited, raising funds, securities act, technology investments

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

By Occasional Contributors | 2 Minutes Read June 20, 2017

SEC awards whistleblower reduced amount citing whistleblower culpability

The February 28, 2017 order emphasized that the reduced award was a result of the whistleblower’s culpability in connection with the securities law violations and the whistleblower’s delay in reporting the violation to the SEC.

Article by Occasional Contributors / Business / anonimity for whistleblowers, financial rewards for whistleblowers, monetary incentives for whistleblowers, Osler, reprisals against whistleblowers, securities act, whistleblower, whistleblower culpability, whistleblower protections

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