CLE Online

Welcome and Introduction

Abbas Sabur — Shapray Cramer LLP, Vancouver
Sean K. Boyle — Blake, 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
  

Break

Regulatory Sanctions

• freeze orders
• Securities Act penalties
• disgorgement since Poonian
• IIROC/MFDA penalties
  
  Derek J. Chapman — BC Securities Commission, Vancouver
  Eileen Patel — Associate Commission Counsel, Cullen Commission of Inquiry into Money Laundering in BC, Vancouver
  Abbas Sabur — Shapray 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 Anderson — Harper Grey LLP, Vancouver
  Douglas Muir — BC Securities Commission, Vancouver
  Patrick J. Sullivan — Taylor 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 MacLennan — BC Securities Commission, Vancouver
  Gary S. Snarch — Taylor Veinotte Sullivan, Vancouver

Break

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, QC — McEwan Cooper Dennis LLP, Vancouver
  Alexandra C. Luchenko — Blake, Cassels & Graydon LLP, Vancouver
  Gordon Smith — BC Securities Commission, Vancouver
  

Closing Questions and Comments

Abbas Sabur — Shapray Cramer LLP, Vancouver
Sean K. Boyle — Blake, Cassels & Graydon, Vancouver