Overview
In September 2025, the Ontario Capital Markets Tribunal (the Tribunal) approved the settlement between the Ontario Securities Commission (OSC) and Huy Le (Alvin) Huynh (Huynh) and his spouse Thi Anh Nguyet (Nancy) Pham (
On November 17, 2025, the Securities and Exchange Commission’s (SEC) Division of Corporation Finance announced a significant shift in its approach to shareholder proposal exclusions under Exchange Act Rule 14a-8. For the 2025–26 proxy season (October
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
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
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, trade fraud and
On May 20, 2025, the Autorité des marchés financiers (the AMF)—Québec’s financial markets regulator—introduced its first Self-reporting and Cooperation Policy (the Policy).
The Policy is a positive advancement in fostering the self-disclosure of securities laws breaches. However, the
On April 16, 2025, the Québec Court of Appeal dismissed the appeal of Martin Dionne against HEXO Corp. and Sébastien St-Louis, its former Chief Executive Officer, affirming the Superior Court’s decision to deny authorization for a securities class action[1]
On April 9, 2025, in the case of Securities Exchange Commission v. Albert Saniger (Saniger),[1] the U.S. Securities and Exchange Commission (the SEC) charged Alberto Saniger Mantinan, former CEO of Nate, Inc., a privately held technology