CCLS Education Subcommittee Seminar: OSC Whistleblower Program - What you need to know

On July 14, 2016, the Ontario Securities Commission launched the Whistleblower Program to target serious and hard to detect regulatory offenses.  The Program is the first of its kind in Canada to offer financial incentives for information about securities law violations.  This session, hosted by the Conduct, Compliance & Legal Advisory Section (CCLS) Education Sub-Committee of IIROC, aims to provide attendees with a background on the Program along with insights into its operations to date. 

In particular, attendees will learn about:

• the Program’s key features including available protections;
• the types of misconduct the Program is designed to attract;
• findings from a desk review of registrants into the anti-reprisal provisions of the Securities Act (Ontario); and
• practical considerations for market participants to keep in mind.