Securities Practice Notes

Real time quotes at the stock exchange

November 2015

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Ontario Securities Commission Proposes Whistleblower Program

Kevin J. Sorochan

On October 28, 2015, the Ontario Securities Commission (the “OSC”) announced the release of its proposed whistleblower program, OSC Policy 15-601 (the “Policy”). When implemented, the Policy will be the first of its kind in Canada and will follow in...

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Conflicts of Interest in distributing securities of related or connected issuers

On November 19, 2015, the Canadian Securities Administrators (“CSA”) issued CSA Staff Notice 31-343 Conflicts of Interest in distributing securities of related or connected issuers (the “Notice”), wherein the CSA indicated that the identification of, and response to, conflicts of...

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