PENSION FUND INVESTMENTS AND GOVERNANCE FALL ROUNDTABLE NOVEMBER 3, 2017 9:00-11:00 am University of Toronto Faculty of Law Jackman Law Building, Room J140 This roundtable will examine issues facing pension funds including: the challenges that consistently low rates of economic growth pose for pension funds; how pension funds approach regulatory compliance when faced with regulation from multiple… Read More Upcoming Event: Pension Fund Investments and Governance Fall Roundtable
Should Issuers Be Required to Improve their Climate-related Financial Disclosures? Tuesday, November 28, 2017 9:00 a.m. to 12 noon (registration opens at 8:30am) Rotman School of Management Desautels Hall (2nd floor) 105 St. George Street Toronto, Ontario Registration $49.95 plus h.s.t. per person (Refreshments will be served) Registration required. REGISTER HERE Please register before noon November… Read More Upcoming Event: Should Issuers Be Required to Improve their Climate-related Financial Disclosures?
By Anita Anand, Andrew Green and Matthew Alexander https://beta.theglobeandmail.com/report-on-business/rob-commentary/are-no-contest-settlements-in-the-public-interest/article35735938/?ref=http://www.theglobeandmail.com& The Ontario Securities Commission’s recent no-contest settlements (NCS) with RBC Dominion Securities Inc. and Manulife Securities Inc. are the most recent in a string of settlements reached with Canada’s major financial institutions regarding overcharging clients. All in all, nine NCS have been finalized with financial institutions under… Read More The Burdens of No-Contest Settlements
By Cristie Ford https://www.law.ox.ac.uk/business-law-blog/blog/2017/06/has-financial-regulation-over-last-thirty-years-been-one-huge (Spoiler: if the scholarship is any guide, the answer is, pretty much, no). In 2009, Lord Adair Turner charged that: ‘An underlying assumption of financial regulation in the US, the UK and across the world, has been that financial innovation is by definition beneficial, since market discipline will winnow out any… Read More Has (Financial) Regulation Over the Last Thirty Years Been One Huge Neoliberal Mistake?
By Tegan Valentine On Monday June 5, 2017 the U.S. Supreme Court issued its ruling on Kokesh v. SEC. In Kokesh the Court was asked to consider whether disgorgement should be held to the standards set out in the United State’s federal statute of limitations law. Ultimately, the Court determined that a five-year statute of… Read More Kokesh v SEC – Disgorgement and the Statute of Limitations
By Anita Anand https://www.theglobeandmail.com/report-on-business/rob-commentary/new-securities-regulatory-structure-a-disservice-to-investors/article35167692/ The current proposal for reform of Canada’s securities regulatory structure, referred to as the “Cooperative Capital Markets Regulator,” is not in investors’ interests. This may seem strange because securities regulation is founded on the need to protect investors in the capital markets. Yet in both its governance structure and substance, the… Read More Canada’s new securities regulatory structure is a disservice to investors
Originally shared by the Canadian Foundation for Advancement of Investor Rights FAIR Canada Issues White Paper Entitled “What About the Investors?” Toronto (May 18, 2017) – FAIR Canada and CARP today announced that they believe the proposed cooperative capital markets regulator (CCMR) is not in the interests of ordinary Canadians. FAIR Canada and CARP are… Read More FAIR Canada and CARP Call for Major Changes to Proposed New Regulator