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Whistleblowers Securities Act

Oberheiden P.C.

SEC Compliance Internal Audit Tips: 4 Things You Should Know

Oberheiden P.C. on

Regulated securities firms need to take significant actions to ensure that their company is complying with the legal requirements set out by regulations promulgated by the U.S. Securities and Exchange Commission (SEC) and the...more

Blake, Cassels & Graydon LLP

Enforcement Highlights from the 2019 OSC Annual Report

The Ontario Securities Commission (OSC) recently released its 2019 OSC Annual Report (Report), which provides enforcement statistics from 2019 and discusses the OSC’s priorities for 2020....more

Mintz - Securities Litigation Viewpoints

Upcoming Supreme Court Cases Worth Noting by Institutional Investors

The U.S. Supreme Court‘s 2017 term begins October 2nd and we will be tracking at least three cases relevant to institutional investors: •Cyan, Inc. v. Beaver County Employees Retirement Fund •Digital Realty Trust v....more

Bennett Jones LLP

Thinking of Developing a Whistleblowing System? New Canadian Guidance Released Today

Bennett Jones LLP on

Companies and regulators alike are increasingly recognizing that “whistleblowers”, i.e., individuals who report suspected wrongdoing, mismanagement or unethical conduct, are an important resource for managing risk and...more

Ballard Spahr LLP

Investment Management Update - October 2015

Ballard Spahr LLP on

Below is a summary of recent investment management developments that affect registered investment companies, private equity funds, hedge funds, investment advisers, and others in the investment management industry. Schwab...more

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