Sentences with phrase «securities commission»

One criminal prosecution, launched by the Ontario Securities Commission in the Ontario Court of Justice, was of Felderhof on charges of insider trading and the release of misleading press releases.

Notable mandates: Acting for Redberry Investments Corp. in becoming the Canadian master franchisee for Burger King Corp.; acting for Dundee Kilmer Developments Ltd. in the development of the condominium components for the 2015 Pan Am Games Athlete's Village; principal negotiator and counsel to the Algonquins of Ontario in ongoing treaty negotiations in a land claim covering 36,000 square kilometres; representing insurers involved in the Elliot Lake Mall collapse; representing Financial Advisors Association of Canada (Advocis) in submissions to the Supreme Court of Canada regarding McLean v. British Columbia Securities Commission.

On a positive note, the Ontario Securities Commission's recent approval of the ICO of Token Funder Inc. on Oct. 17 demonstrated the willingness of regulators such as the OSC to work with potential ICO issuers that are willing to play by the rules and carefully consider the application of relevant securities laws and may serve as a path forward as to how an ICO can be successfully navigated within existing securities laws.

A market registrant's lack of actual knowledge of the source of tip or their tipper's relationship to an issuer will not protect them from liability under the Securities Act, according to the Ontario Court of Appeal in its recent decision in Finkelstein v. Ontario Securities Commission.

Prior to joining the World Justice Project, Dr. Ponce worked as a researcher at Yale University and as an economist at the World Bank and the Mexican Banking and Securities Commission.

Finkelstein v. Ontario Securities Commission is an Ontario Court of Appeal decision that is groundbreaking in the light it sheds on the «chain of tipping.»

If this is the case, the decision, when viewed together with the ASC's 2007 decision in Pulse Data Inc. and the Ontario Securities Commission's May decision in Neo Material Technologies Inc., may constituted a trend towards greater deference to boards of directors.

Last year, the Ontario Securities Commission, the country's largest securities regulator, created a new specialized team in an attempt to tackle the worst financial crimes.

This summer, Gurinder will be working at Fasken Martineau (Toronto) and will be seconded to the Ontario Securities Commission.

On June 22, 2009, Canada's federal government announced that a team led by the chair of the B.C. Securities Commission, Doug Hyndman, will lead the transition to a new national securities regulator.

On August 25, 2009, the Alberta Securities Commission dismissed an application by TransAlta Corporation to cease trade the shareholder rights plan of Canadian Hydro Developers Inc..

Its domestic and international clients include Nortel UK Pension Trustee and UK Pension Protection Fund, Hollinger Inc., U.S. Steel Inc. and U.S. Steel Canada, TransCanada Energy, Ontario Securities Commission, TSX, TD Bank, Canadian Pacific Railway, and several multinational law firms.

The first, Ontario Securities Commission Rule 72 - 503, deals with distributions of securities to non-local investors.

In 1999, Felderhof was charged by the Ontario Securities Commission with eight counts of violating the Securities Act.

He was convicted of fraud and insider trading in Ontario and New York following a joint investigation by the RCMP, the Ontario Securities Commission, the United States Securities and Exchange Commission, and the FBI, and was sentenced to 39 months in jail by an Ontario judge in January 2010.

The British Columbia Securities Commission did not publish the proposed instrument for comment, although staff anticipates doing so in the near future, after obtaining necessary approval.

The Alberta Securities Commission decided it could hear a case against the World Stock Exchange though it was hosted in Antigua.

Canadian Appeals Monitor Insider Trading: Securities Commission to Think Twice About Excessive Sanctions and Speculation

In a rare appellate court decision, the Court of Appeal in Walton v. Alberta (Securities Commission), 2014 ABCA 273, has set aside a decision by the Alberta Securities Commission and has held that any monetary penalties levied must be proportionate to the circumstances of the offender and supported by reasons.

During the proceedings, Groia accused prosecutors for the Ontario Securities Commission of abuse of process and professional misconduct, largely over disclosure issues, said they were trying to convict his client «at all costs.»

57 The Commission was correct to conclude that the presumption against retrospective application did not apply in this case because administrative penalties under the Act are not punitive but are instead designed to protect the public: Brosseau v. Alberta Securities Commission -LSB-...].

On March 15, 2018, the Ontario Securities Commission released the rationale behind its decisions on various applications submitted to it as a result of the hostile bid by Aurora Cannabis Inc. for CanniMed Therapeutics Inc..

Russel Drew recently appeared on the BNN's Business Day AM along with TokenFunder CEO Alan Wunsche to discuss the latest development in FinTech innovation in light of the Ontario Securities Commission's granting of its first exemptive relief order in connection... Continue Reading

Other governance work has included serving six years as Vice Chair of the Nova Scotia Securities Commission and as a former member of the Joint Forum of Financial Market Regulators, as a former representative of the Canadian Securities Administrators, and on the local executive for the Society of Trust and Estate Practitioners (STEP).

The Ontario Securities Commission (OSC) recently adopted OSC Rule 72 - 503 Distributions Outside Canada.

In Morrison Williams Investment Management Ltd. (Re), [140] the Alberta Securities Commission relied on Brosseau in holding that it could impose an AMP for conduct that predated the enactment of the AMP provision.

The Alberta Securities Commission then proceeded administratively against Brosseau, seeking an order that he cease trading in securities.

The action was brought for allegedly false statements and testimony given before the Ontario Securities Commission claiming unusual trading activity in his RBC trading accounts — information that was later published in media reports.

In Alberta (Securities Commission) v. Brost, [142] the Alberta Court of Appeal considered whether the rule in Brosseau applied to AMPs.

On June 30, 2016, the Ontario Securities Commission (OSC) published for comment OSC Rule 72 - 503 — Distributions Outside of Canada and its related companion policy and form (collectively, the Proposed Rule).

In the 2009 case of Thow v. British Columbia (Securities Commission), [152] the BC Court of Appeal faced exactly the issue as the Alberta Court of Appeal in Brost: do increased maximum AMPs apply to conduct that occurred before the maximums were increased?

The Ontario Securities Commission adopted similar amendments and also introduced the family, friends and business associates exemption.

But the litigation was complex and protracted, and disputes arose between counsel to the point of Groia alleging serious prosecutorial misconduct by the Ontario Securities Commission prosecutors.

David Brown, the former chairman of the Ontario Securities Commission, who returned to his former firm, Davies Ward Phillips & Vineberg LLP in December, notes that new lawyers coming into a firm have lots of relationships to figure out; and as a mentor he can help them navigate their way.

«Following an extensive review of Maple Group's bid to acquire TMX Group, as well as Alpha Group and Canadian Depository Services (CDS), in light of the Ontario Securities Commission's (OSC) recognition orders as finalized today, the Competition Bureau does not, at this time, intend to make an application to the Competition Tribunal to challenge the proposed transactions.

Western Canada Business Litigation Blog — Supreme Court of Canada Backs Securities Commission Enforcement — Marco Vessely discusses McLean v. British Columbia (Securities Commission), 2013 SCC 67 and the issue of the degree to which courts should defer to decisions of a provincial securities commission.

The Ontario Securities Commission's GetSmarterAboutMoney.ca website can help calculate the future costs of education based on how much tuition and room and board cost today.

(Note: The above entity is also on the cold calling blacklist for the NZ Securities Commission: http://www.seccom.govt.nz/invest/overseas-brokers3.shtml)

The Manitoba Securities Commission (MSC), the financial regulatory body of the Canadian province of Manitoba, issued earlier this week warning notices against binary option brokers PWRTrade and IvoryOption...

The Manitoba Securities Commission (MSC), the financial regulatory body of the Canadian province of Manitoba, issued over the weekend warning notices against binary option brokers 53 Option and...

The Manitoba Securities Commission (MSC), the financial regulatory body of the Canadian province of Manitoba, issued a warning last week against binary options broker Magnum Options after an elderly woman lost $ 10,200 by trading with them.

Canada's Manitoba Securities Commission (MSC) warns of PluStocks — yet another unregistered binary options broker that swindled residents of the province out of a total of CAD 144...

The British Columbia Securities Commission (BCSC), the regulatory body of the Canadian province of British Columbia, has issued a warning notice against binary options broker Redwood Options, a...

The Manitoba Securities Commission (MSC) has put out investor alerts against two binary options brokers: Boss Capital and Option500.

Canada's regional regulator, the Ontario Securities Commission (OSC), has published a warning about the owner of the offshore forex broker AlfaTrade — Nemesis Capital.

Consumers should only invest in products that are properly registered with a securities commission.

The Manitoba Securities Commission (MSC), the financial regulatory body of the Canadian province of Manitoba, issued a warning last week against binary options broker Magnum Options after an...

CentralOption, a binary options broker based on the Marshall islands and in London, obviously chose to ignore British Columbia's Securities Commission (BCSC) warning and continues soliciting Canadian residents.

The Ontario Securities Commission is the securities regulator for Ontario.

+ read full definition through the Ontario Securities Commission or Canadian Securities Administrators.