Spotlight on Market Conduct

Top 5 Lessons from Recent Enforcement Actions

November 17, 2020 2:00pm

Cullen Price
Manager, Market Abuse
Ontario Securities Commission

Charles Corlett
Director, Enforcement Litigation

Martin Hovington
Director of investigations, Market Abuse

  • Understanding implications of recent regulatory developments
  • Examining compliance oversight failures for FX traders
  • Extracting compliance lessons from recent cases of market manipulation and insider trading
  • Analyzing enforcement of whistleblower reprisal rules under the Securities Act