Foreign Corruption and Director Liability Risk in Canada

There have been few cases under Canada’s 14 yr old CFPOA – Corruption of Foreign Public Officials Act -  but the risk, to Canadian companies and their directors and executive management, of an investigation is getting far more press now than only a few years ago. Corporate Canada is not exactly widely known for disclosure and tr...
Posted: 1/10/2014 5:41:52 PM by MSI

Investor Protection

Exempt Market Dealer: Private Issuer and the Accredited Investor There are changes afoot. The issues include, but are not limited to, proposed amendments to National Instrument 45-106 and its definitions of Private Issuer and Accredited Investor Exemptions; and Trapeze Asset Management. The Canadian Securities Administrators (CSA) completed pu...
Posted: 5/16/2012 4:30:16 PM by MSI

Bribery and the Board in the Insurance Broker Business

Between the FCPA, UK Bribery Act and the CFPOA there are many new cases in the bribery landscape. However, there is a very recent case involving a multinational insurance brokerage. This case is not categorized as a direct bribery issue, but rather a failure to prevent bribery. The Financial Services Authority (FSA) announced last week,here, tha...
Posted: 8/1/2011 12:00:00 AM by Global Administrator

CFPOA (Bribery) Enforcement Action on the Rise

Risk Management will be a particular challenge based on the “ground level” exposures and the difficulty identifying and controlling risk that is created by a vast number of activities conducted by a large number of people with significant geographic and supervisory separation.Therefore, based on single aggregate limits, and considera...
Posted: 7/8/2011 12:00:00 AM by Global Administrator

What is the Direction of Canadian Corporate Fraud?

Interesting article on Corporate Fraud and Executive Compensation available, here, at Marketwatch. I will let you read it, but the Greg’s notes on it, 1) “97% of companies on the S&P 500 Index pay incentive compensation to executives even when the company is underperforming its peers”, and 2) “FBI Director R...
Posted: 6/23/2011 12:00:00 AM by Global Administrator

Crime / Fidelity / Bond / 3D / Employee Theft / Financial Institution Bond / Fraud Insurance

Denial of Crime Coverage for MisrepresentationLike most types of insurance coverage there can be many names within the same family of insurance policies. I will use them indiscriminately in this post, because it helps with Search Engine Optimization.There are also a number of terms directly associated with the Bond, including but not limited to,...
Posted: 7/9/2010 12:00:00 AM by Global Administrator

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