Risk Management and Crisis Response Risk Management and Crisis Response

Is Canada rising to the challenge? Responding to calls for more effective financial crime prevention and enforcement

As we have observed in a number of our prior posts (e.g., our post illustrating Canada’s drop from the top 10 least corrupt countries in...

Anti-money laundering in Canada: British Columbia notaries

In addition to the changes of general application listed in Part 1, a number of changes apply to certain Reporting Entity sectors. Read about this...

Canada’s budget introduces long-awaited beneficial ownership registry to combat money laundering

With increasing spotlight being shone on the prevalence of financial wrongdoing worldwide   – especially following revelations...

A look back at IIROC’s enforcement activities: Early resolution offers, more sanctions, and more hearings

The COVID-19 pandemic brought with it a host of novel issues that have had an impact on markets, companies, investors and consumers. Without a doubt,...

Podcast: Securities north of the border – Comparing U.S. and Canadian regulations and enforcement

inSecurities is a biweekly podcast produced in the United States by the Practising Law Institute and hosted by Chris Ekimoff, a forensic accountant,...

World Bank debars German company for thirteen months

In addition to mitigating regulatory risks that can lead to the imposition of fines and imprisonment arising from conviction under relevant law,...

Federal government interpretive guidelines on Workplace Harassment and Violence Regulations

To assist federally regulated employers in implementing recent changes to the Canada Labour Code and corresponding Workplace Harassment and Violence...

Ontario Capital Markets Modernization Taskforce Final Report: A set of thoughtful ideas or a blueprint for change?

The Ontario Capital Markets Modernization Taskforce (the “Taskforce”) published its final report on January 22, 2021 (the...