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ARTICLE · 13 JULY 2022

CSA Releases Enforcement Report For 2021

McCarthy Tétrault
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The Canadian Securities Administrators ("CSA") recently released its annual report on the enforcement activities of its members (the "Report").

CanadaCorporate/Commercial Law
Canadian Securities Regulatory Monitor
Canadian Securities Regulatory Monitor
Rene Sorell
Rene Sorell
Sean Sadler
Sean Sadler
Wendy Berman
Wendy Berman
Shane D'Souza
Shane D'Souza
Jonathan Nehmetallah
Jonathan Nehmetallah
Alexa Jarvis
Alexa Jarvis
Abygail L. Cross
Abygail L. Cross
Author LinkedIn connections

The Canadian Securities Administrators (“CSA”) recently released its annual report on the enforcement activities of its members (the “Report”). The Report provides a snapshot of the enforcement activities taken by Canadian securities regulators over the last 12 months.

The number of enforcement proceedings commenced have increased slightly from 2020 and are significantly higher than 2019. While the number of whistleblower complaints and the total quantum of fines, penalties and general compensation have decreased from 2020, we do not believe this signals any intention on the part of regulators to diminish their enforcement efforts.

Summary of 2021 Results1

2021

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