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ARTICLE · 25 APRIL 2014

Securities Litigation Snapshot (April 2014)

Borden Ladner Gervais LLP
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OSC - New Enforcement Initiatives: On March 10, 2014, the Commission released OSC Staff Notice 15-702 – Revised Credit for Cooperation Program. Most notably, the Notice introduced no-contest settlements ..

CanadaCorporate/Commercial Law
Caitlin Sainsbury
Caitlin Sainsbury
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New Enforcement Initiatives

On March 10, 2014, the Commission released OSC Staff Notice 15-702 – Revised Credit for Cooperation Program. Most notably, the Notice introduced no-contest settlements, whereby Staff would enter into settlement agreements with respondents without admissions of fact or liability and non-prosecution agreements for market participants deemed to be satisfactorily cooperative by OSC Staff. To read more about the OSC's Revised Credit for Cooperation Program please click here.

OSC Enforcement Proceedings

Research Reports

Alka Singh and Mine2Capital Inc. (Re)

On March 27, 2014, the Commission approved a settlement agreement entered into with Alka Singh and Mine2Capital Inc. ("Mine2Capital") regarding the sale by Singh and Mine2Capital of research reports in which they made recommendations to buy certain securities. It was agreed that they  were engaging in the business of advising while not registered to do so and while not qualifying

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