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willingness to testify

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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