Securities Litigation 2019

Course Date: October 17, 2019

Full Course Materials
Total: 5h 55min
Total Ethics: 49min

Welcome and Introduction

Abbas SaburShapray Cramer LLP, Vancouver
Sean K. BoyleBlake, Cassels & Graydon, Vancouver

SRO Oversight—Hearings and Review

  • recent decisions from recognized exchanges
  • recent decisions from IIROC

    Owais Ahmed Harper Grey LLP, Vancouver
    Sean K. Boyle
    Blake, Cassels & Graydon, Vancouver


Regulatory Sanctions

  • freeze orders
  • Securities Act penalties
  • disgorgement since Poonian
  • IIROC/MFDA penalties

    Derek J. Chapman
    BC Securities Commission, Vancouver
    Eileen PatelAssociate Commission Counsel, Cullen Commission of Inquiry into Money Laundering in BC, Vancouver

    Abbas SaburShapray Cramer LLP, Vancouver

Trends in Criminal Enforcement: Recent Cases, Priorities, and Development of New Investigative Techniques

  • when are regulators and the Crown proceeding with criminal prosecutions and how are they doing?
  • inter-jurisdiction and cross-border issues
  • directions in law enforcement—what are the RCMP and IMET doing; current developments in fraud investigation

    Gordon S. Comer Crown Counsel, Criminal Appeals and Special Prosecutions, Vancouver
    David J. Martin
    Martin & Associates, Vancouver

Lunch (provided) with Featured Speaker
"The Perils of Insider Trading and the Rule of Law"

Joseph Groia Groia & Company Lawyers, Toronto

Transactions Attracting Regulatory Scrutiny

  • OTC deals; RTO transactions; forward splits
  • use of consultants and the consultant’s exemption
  • fundraising and finders fee
  • removal of the Northwest Exemption

    Rod AndersonHarper Grey LLP, Vancouver

    Douglas MuirBC Securities Commission, Vancouver
    Patrick J. SullivanTaylor Veinotte Sullivan, Vancouver

Mediation/Arbitration and Settlement in Securities Disputes

  • IIROC Mediations—recent trends
  • Securities Commission proceedings—mediation and settlement
  • mediation/arbitration in commercial/securities related disputes

    Graham MacLennanBC Securities Commission, Vancouver

    Gary S. SnarchTaylor Veinotte Sullivan, Vancouver


Transactional Securities Litigation

  • takeover bids, proxy fights, oppression claims, and plans of arrangement—case law update
  • distinguishing shareholder claims from company claims
  • choice of remedies—corporate remedies or securities litigation?

    Robert W. Cooper, QCMcEwan Cooper Dennis LLP, Vancouver

    Alexandra C. LuchenkoBlake, Cassels & Graydon LLP, Vancouver
    Gordon Smith BC Securities Commission, Vancouver

Closing Questions and Comments

Abbas SaburShapray Cramer LLP, Vancouver
Sean K. Boyle Blake, Cassels & Graydon, Vancouver