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!
- 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 »
- DOJ clarifies white-collar enforcement priorities and touts growth in whistleblower activity
The US Department of Justice is ramping up white-collar enforcement and working to incentivize corporate cooperation (or, failing that, whistleblowing). In recent speeches, Acting Assistant Attorney General Matthew Galeotti outlined the DOJ’s white-collar priorities—including health care fraud, trad … Read more »
- Coordinated market manipulation between an officer and a shareholder
IntroductionIn March 2025, the Financial Markets Administrative Tribunal (TMF) rendered two decisions involving market manipulation in Autorité des marchés financiers c. Veillette[1] and Autorité des marchés financiers c. Ferreira[2]. These cases illustrate how market manipulation may arise through … Read more »