In a publication released this month titled Improving Self-Regulation for Canadians, the Investment Industry Regulatory Organization of Canada (“IIROC”) has, among other things, proposed a merger of itself with another ... [more] Full article

The Ontario Securities Commission recently approved settlement agreements with two online trading platforms that were alleged to have contravened Ontario securities laws by engaging in unregistered selling of derivatives and ... [more] Full article

On September 26th, Justice Charney of the Ontario Superior Court of Justice released his sentencing decision. This sentencing followed an appellate decision by Justice Charney from May, 15th, 2018 in which Tiffin was convicted of trading in securities without registration and while prohibited as well as distributing securities without a prospectus. [more] Full article

In its unanimous decision in Lavender v. Miller Bernstein LLP released on September 5, 2018, the Court of Appeal for Ontario made it clear that notwithstanding the liability imposed by the ... [more] Full article