Information About Risk Management & Crisis Response
Below is a preview of the five most recent posts from the blog Risk Management & Crisis Response. To read these posts in their entirely or subscribe to future updates from this blog, please visit their website!
- Ontario Capital Markets Modernization Taskforce: Road to implementation?
Ontario’s Capital Markets Modernization Taskforce (the Taskforce) received a show of confidence from the Government of Ontario through the release of its 2021 Budget, where it announced that it would be moving towards implementing some of the Taskforce’s recommendations. On March 24, 2021, the Go … Read more »
- Three week countdown for Canadian digital asset trading platforms to start getting registered under securities laws
On March 29, 2021, the Canadian Securities Administrators (CSA) and the Investment Industry Regulatory Organization of Canada (IIROC) jointly published Staff Notice 21-329 Guidance for Crypto-Asset Trading Platforms: Compliance with Regulatory Requirements (the Staff Notice). The Staff Notice provid … Read more »
- Market Manipulation: Alberta Securities Commission clamps down on pump and dump scheme
The Alberta Securities Commission (the “ASC”) recently issued its reasons in Re Kilimanjaro Capital Ltd., 2021 ABASC 14 (the “Decision”). The ASC concluded the control person of Kilimanjaro Capital Ltd. (“Kilimanjaro”), Ashmit Patel, engaged in, among other things, market manipulating conduct intend … Read more »
- 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, companies must always be aware of the ancillary and business risks associated with corrupt conduct, including reputational risks, transactional issues and … Read more »
- 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 [PDF] its final report on January 22, 2021 (the “Final Report”). The Final Report outlines a broad range of recommendations responding to the Taskforce’s mandate to “review the current status of Ontario’s capital mark … Read more »