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Documents on securities law
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|Ontario Legislature Clarifies Securities Limitation Period|
Jonathan G. Bell, Jeffrey S. Leon; Bennett Jones LLP;
January 20, 2015, previously published on September 5, 2014Less than one month after the Supreme Court of Canada announced that it will hear appeals in a trilogy of Ontario securities class action cases that address how the three years limitation period under the Ontario Securities Act applicable to secondary market class actions should be applied, the...
|US Regulation - SEC Sanctions Foreign Bank for Failure to Register|
Withers Bergman LLP;
January 20, 2015, previously published on December 9, 2014The US Securities and Exchange Commission (SEC) has issued a cease and desist order and has imposed remedial sanctions upon a foreign bank which failed to register as a broker-dealer or as an investment adviser.
|CRD IV - Remuneration|
Withers Bergman LLP;
January 20, 2015, previously published on December 9, 2014Mark Carney, Governor of the Bank of England, gave a speech to the Monetary Authority of Singapore targeting bankers¿ fixed pay as well to make bankers more personally accountable and to change their behaviour.
|FCA Supervision - Thematic Reviews|
Withers Bergman LLP;
January 20, 2015, previously published on December 9, 2014The FCA has published the findings of its thematic review concerning complaint handling which identified four main barriers within firms that in the FCA’s view, prevents effective complaints handling under DISP:
|Supreme Court Grants Leave to Appeal in Securities Class Actions|
Ranjan K. Agarwal, Jonathan G. Bell, Preet K. Bell, Michael A. Eizenga, Jeffrey S. Leon; Bennett Jones LLP;
January 20, 2015, previously published on August 7, 2014The Supreme Court of Canada announced today that it will hear appeals in a trilogy of Ontario securities class action cases: Green v. CIBC, Silver v. IMAX and Celestica v. Millwright Regional Council of Ontario Pension Trust Fund.
|Restoring the Duty of Care Analysis to Negligence Claims in Third-Party Proceedings|
Codie L. Chisholm, Michael D. Mysak; Bennett Jones LLP;
January 19, 2015, previously published on May 5, 2014The Alberta Court of Appeal has provided some helpful guidance on the scope of third-party claims in O’Connor Associates Environmental Inc v MEC OP LLC, 2014 ABCA 140, narrowing the scope and application of the decision of Canadian Natural Resources Limited v ArcelorMittal Tubular Products...
|FINRA Issues Guidance Notice on Confidentiality Provisions in Settlement Agreements and the Arbitration Discovery Process|
Manuel F. Gomez, Jeff Kern; Sheppard, Mullin, Richter & Hampton LLP;
January 16, 2015, previously published on November 12, 2014In Regulatory Notice 14-40, FINRA reminds members that it is a violation of FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade) to incorporate into a settlement agreement a confidentiality provision restricting or prohibiting a customer or other person from communicating with...
|The Alberta Securities Commission Imposes Important New Obligations for Recipients of Production Demands|
Justin R. Lambert; Bennett Jones LLP;
January 16, 2015, previously published on February 21, 2014The Alberta Securities Commission (ASC) has always had the power to compel Registrants, Reporting Issuers, and others to produce records in the course of an investigation. Section 93.4 of the Securities Act (Alberta) has also previously required that persons not destroy records required for an ASC...
|IIROC Releases Final Guidance on Underwriting Due Diligence|
Patrick Boucher, Matthew Cumming, Michael J. Eldridge, Graham P.C. Gow, Robert O. Hansen; McCarthy Tétrault LLP;
January 16, 2015, previously published on January 6, 2015On December 18, 2014, the Investment Industry Regulatory Organization of Canada (IIROC) published Rules Notices 14-0299 and 14-0300 in connection with the release of final guidance respecting underwriting due diligence (Final Guidance). The Final Guidance follows IIROC’s publication of...
|Recent SEC Enforcement Actions Highlight Importance of Robust Insider Trading Compliance Policies|
Alicia M. Tschirhart, Robert L. Wernli; Sheppard, Mullin, Richter & Hampton LLP;
January 16, 2015, previously published on December 5, 2014Recently the SEC announced enforcement actions which highlight the importance of complying with the beneficial ownership reporting requirements under Sections 13(d), 13(g) and 16(a) of the Securities Exchange Act of 1934, or the Exchange Act.