Information About Securities litigation and enforcement
Recent Posts
Below is a preview of the five most recent posts from the blog Securities litigation and enforcement. To read these posts in their entirely or subscribe to future updates from this blog, please visit their website!
- A Recent OSC Settlement: A Cautionary Tale on Insider Trading
OverviewIn September 2025, the Ontario Capital Markets Tribunal (the Tribunal) approved the settlement between the Ontario Securities Commission (OSC) and Huy Le (Alvin) Huynh (Huynh) and his spouse Thi Anh Nguyet (Nancy) Pham (Pham) related to their tipping and insider trading scheme. Both Huynh an … Read more »
- SEC upends no‑action process for 2025 – 2026 proxy season
Overview of the announcementOn November 17, 2025, the Securities and Exchange Commission’s (SEC) Division of Corporation Finance announced a significant shift in its approach to shareholder proposal exclusions under Exchange Act Rule 14a-8. For the 2025–26 proxy season (October 1, 2025 – September 3 … Read more »
- Canada’s anti-fraud overhaul: What US firms need to know
On October 20, 2025, Canada’s Finance Minister announced plans to seek heightened anti-fraud regulatory and enforcement measures ahead of the country’s upcoming federal budget. The initiative includes two major developments: National anti-fraud strategy – A national strategy to adopt increased anti- … Read more »
- Securities Brokerage Contracts Are Exempt from Application of Quebec’s Consumer Protection Act
The recent unanimous Quebec Court of Appeal’s decision in Salko c. Financière Banque Nationale inc.[1] is the first appellate court decision addressing the scope of the exemptions from the application of the CPA set out at section 6a) of the CPA itself.Case BackgroundNicolas Salko (Salko) opened a d … Read more »
- SEC reinstates simultaneous consideration of enforcement settlements and waiver requests
On September 26, 2025, the Securities and Exchange Commission (SEC) reinstated its 2019 policy of simultaneously considering offers to settle enforcement actions and requests for waivers of collateral consequences of those actions, reversing a 2021 shift that had separated settlement negotiations fr … Read more »