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securities law misconduct

By Occasional Contributors | 2 Minutes Read March 19, 2019

The game changer: OSC awards $7.5 million to three whistleblowers

The Ontario Securities Commission (the OSC) recently announced that it has awarded nearly $7.5 million to three whistleblowers on separate matters as part of its relatively nascent whistleblower program, which came into effect in 2016.

Article by Occasional Contributors / Business, Finance and Accounting / securities law misconduct, securities laws, securities regulation, securities regulatory enforcement, whistleblower programs, whistleblowers

By Occasional Contributors | 2 Minutes Read February 5, 2019

Mixed results in British Columbia white collar enforcement proceedings

Two high-profile cases in late 2018 demonstrate both the potentially grave consequences of securities law violations and the difficulties prosecutors face in securing convictions for white collar crime.

Article by Occasional Contributors / Business, Finance and Accounting / money laundering, organized crime, securities law misconduct, securities laws, violation of securities law

By Occasional Contributors | 6 Minutes Read March 4, 2015

OSC proposes large financial awards for whistleblowers

The Ontario Securities Commission (OSC) is inviting comment on a proposed comprehensive whistleblowing program (Program) which would award eligible whistleblowers up to $1.5 million for reporting securities law misconduct that leads to significant enforcement or settlement orders.

Article by Occasional Contributors / Business, Finance and Accounting, Payroll / administrative proceeding, anti-retaliation provision, civil right of action, contractual provisions, enforcement or settlement orders, illegal insider trading, internal escalation procedures, internal reporting process or investigation, investigation, keep a whistleblower’s identity confidential, market manipulation, misleading disclosure concerns, misleading financial statements, OSC’s Enforcement Branch, registered securities businesses, securities law misconduct, timely disclosure, unregistered sales of securitie, violation of securities law, whistleblower, whistleblowers, Whistleblowing protection

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