Rule 10b5-1 Plans: An Overview-
What is a Rule 10b5-1 plan?
A Rule 10b5-1 plan is a written plan for trading securities that is designed in accordance with Rule 10b5-1(c) of the Securities Exchange Act of 1934 (the...more
2020 marks the 20th anniversary of the Rule 10b5-1 plan. During its two-decade history, it has provided an affirmative defense against allegations of insider trading by corporate insiders that trade their company’s stock,...more
This year has been a watershed in terms of Canada’s enforcement of its Corruption of Foreign Public Officials Act (“CFPOA”):
• In January 2013, a record fine of CAD 10.35 million (USD 10.27 million) was imposed on...more