Insights/Communiqués/Securities Practice Notes/November 2015

Securities Practice Notes

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...

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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