With a changing economy, constant regulatory reforms and financial market regulators increasingly cooperating on enforcement, registrants, financial institutions and other trading participants need to be on top of potential issues to mitigate litigation risk. 

In our new “Five things you need to know” series, our Securities Litigation lawyers provide you with the five most important things you need to know about emerging trends and traditional issues to help you function efficiently and effectively in today’s securities arena. We offer unique insight into the ever-evolving securities regulatory environment in Canada, providing you with key things you need to know:

• when the securities commission wants information from you;
• when faced with securities class actions;
• when facing internal investigations;
• about ESG litigation risk; and
• about technology in the capital markets.

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Five things you need to know about internal investigations to mitigate securities litigation risk

May 1, 2024

Internal investigations present an opportunity for a company to get ahead of and reduce securities, criminal and class action risk. However, there are many ways in which these investigations could be easily mismanaged. Here are five things corporations should be aware of to mitigate risk.

Five things you need to know when a Canadian securities commission requests information in connection with an investigation

July 6, 2023

For publicly listed companies in Canada, there may come a day when you receive a request for information from a provincial securities commission in connection with a securities investigation. Receiving such a request can be unsettling, but the manner in which you respond will set the tone and trajectory of your subsequent dealings with the commission.