Lawrence E. Ritchie Lawrence E. Ritchie

Ontario Securities Commission provides guidance on ‘trading relationship’ and defence of reliance on legal advice

A recent OSC decision determines when a “trading relationship” exists and when respondents can defend administrative proceedings by...

What’s new with the OSC?

Significant changes are underway at the Ontario Securities Commission, reflecting certain recommendations of the province’s Capital Markets...

OSC outlines regulatory goals in Statement of Priorities for FY2022-2023

Osler lawyers provide their analysis of the Ontario Securities Commission’s recently published Statement of Priorities assessing issues facing...

Securities Commission confirms statutory confidentiality provisions apply to Staff and witnesses

An Ontario Securities Commission hearing panel recently found that Staff improperly disclosed confidential witness testimony. Does this signal a...

U.S. court ruling challenges SEC’s circumstantial insider trading evidence

A recent decision in Virginia signals the importance of the evidentiary burden in insider trading cases and could have implications for enforcement...

Ontario Capital Markets Modernization Taskforce elicits potential enforcement changes in proposed Capital Markets Act

The draft of Ontario’s proposed Capital Markets Act includes several recommendations designed to modernize and enhance the OSC’s...

Tools of the trade: OSC criminal and quasi-criminal charges result in jail terms for convicted securities fraudsters

With several tools at their disposal, Canadian securities regulators are showing their willingness to safeguard their capital markets however they...