Selected Publications and Presentations
The Reality of Settlement in Regulatory Enforcement Cases
Advocates’ Quarterly, vol.38, issue 1
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2011
IIROC: Sanctions Reasons and Decision
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August 2011
Comment on a National Securities Regulator
FAIR: Canadian Foundation for Advancement of Investor Rights
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February 2011
Is IIROC Overreaching on Rule 37?
Editorial, Investment Executive
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November 2010
Securities Officials Should Defend Deals
Editorial, National Post
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November 16, 2010
Key Strategies for Managing Litigation in a Post Recessionary Global Marketplace
Co-chair, Canadian Institute’s 9th Annual Advanced Forum on Securities Litigation and Enforcement, Toronto
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October 19-20, 2010
Revisiting Enforcement
Editorial, Investment Executive
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May 3, 2010
The Real Battleground in Securities Litigation: Advocacy Outside the Hearing Room
Speaker, Advocates’ Society Program, Toronto
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April 22, 2010
Regulatory Issues and Enforcement Initiatives Affecting Dealers and Registrants
Speaker, 2009 Annual Compliance and Legal Section, Legal and Compliance Conference of IIROC, Toronto
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December 1, 2009
Broker/Dealer Counsel Reception
Coordinator/Host, Toronto
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November 26, 2009
Legal Risk Management in Retail Investments
Coordinator/Chair, Osgoode Hall Professional Development Program, Toronto
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November 12, 2009
Proposed National Securities Regulator
Coordinator/Host, Toronto Meeting of Securities Litigation Bar and Canadian Securities Transition Office
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November 11, 2009
Compliance-Enforcement Roundtable
Speaker, Ontario Securities Commission, Toronto
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November 3, 2009
Broker/Dealer Counsel Reception
Coordinator/Host, Toronto
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May 11, 2009
Managing Internal and Regulatory Investigations
Speaker, Osgoode Hall Professional Development Program, Toronto
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April 20, 2009
Beware of the Lure of the "Fiduciary" Label
Editorial, Investment Executive
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April 2009
Recruiting Brokers after the RBC DS Case
Editorial, Investment Executive
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mid-November, 2008
Mediation of Retail Investor Loss Cases
Speaker, Association of Canadian Compliance Professional 7th Annual Compliance Forum, Toronto
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May 5, 2008
Managing the External Enforcement Investigation: Key Issues and Current Practices
Speaker, Osgoode Hall Professional Development Program, Toronto
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April 24, 2008
Compensation, Disgorgement & Restitution Orders Arising From Breaches of Securities Laws
Speaker, Capital Markets Institute, Toronto
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February 29, 2008
Broker/Dealer Legal Reference Case Law Database
Author, Carswell
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2007, and updated annually
Industry in Need of Code of Conduct
Editorial on Recruitment Issues, Investment Executive
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December 2007
Alternatives to Adjudicative Proceedings in the Resolution of Compliance/Enforcement Matters
Speaker, Ontario Securities Commission 2007 Commissioners' Adjudicative Retreat, Toronto
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September 24-25, 2007
OBSI Running a 'Quiet Reign of Tyranny'
Editorial, Investment Executive
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July 2007
2007 Securities Investigation Training Course
Speaker, Ontario Securities Commission, Kempenfelt Conference, Barrie
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June 14, 2007
Understanding and Managing Regulatory Investigations
Speaker, Osgoode Hall Professional Development Program, Toronto
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April 23, 2007
The Impact of Sanctions on a Registered Representative
Speaker, Investment Dealers Association of Canada Lunch and Learn Session, Toronto
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March 31, 2007
Securities Enforcement
Co-author, Canadian Securities Law Reporter
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2006
Examining New Developments Under Ontario’s Secondary Market Regime: What New Risks Have Emerge and How Can They Be Avoided
Speaker, Canadian Institute's 10th Annual Conference on Directors' and Officers' Liability
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October 30-31, 2006
Recent Developments in the Securities Class Action Field in Canada, Implications for D&O Insurers, Their Brokers and Clients
Speaker, Professional Liability Underwriting Society (PLUS) Seminar, Montreal
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May 25, 2006
Discovery of a Compliance Officer
Speaker, IFIC's Fifth Annual Compliance Forum, Toronto
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May 8, 2006
Defence Counsel Perspective on the MFDA
Speaker, Mutual Fund Dealers Association Training Session for Enforcement Counsel and Investigators, Toronto
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November 29, 2005
Risk of Personal Regulatory Liability for Compliance Officers and Legal Counsel at Dealers
Speaker, Annual CLS (Compliance and Legal Section), Legal and Compliance Conference of the IDA Members, Toronto
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November 29, 2005
Where is the OSC Going in its Regulatory Reach
Speaker, Canadian Institute's Fifth Annual Advanced Forum on Securities Litigation, Toronto
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November 14-15, 2005
Bill 198 And How It Will Affect Your Practice
Speaker, Law Society of Upper Canada Conference on Director's and Officers' Liability, Toronto
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October 24, 2005
2005 Securities Investigation Training Course
Speaker, Ontario Securities Commission, Kempenfelt Conference, Toronto
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June 19-24, 2005
Focusing on the Element of Knowledge
Speaker, Going Before the Courts, Securities Litigation Forum, Insight Information, Toronto
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June 14, 2005
Capital Market Enforcement in Canada: Principles, Priorities and Alternatives
Panelist, commenting on paper of Professor Poonan Puri, Capital Markets Institute, Toronto
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June 14, 2005
Rethinking the Gatekeeper Theory
Editorial, Investment Executive
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May 2005
The Case for Vertical Integration
Editorial, Investment Executive
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February 2005
Securities Regulatory Enforcement Post-Enron and Post-YBM
Speaker, Osgoode Hall Professional Development Program, Toronto
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June 10, 2004
Compliance Officer Liability
Speaker, Compliance and Legal Section, Education Committee, Investment Dealers Association of Canada, Annual Compliance Conference, Toronto
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December 2, 2003
Managing Confidential Information and Conflicts of Interest in Financial Institutions
Speaker, Canadian Institute's Ninth Annual Regulatory Compliance for Financial Institutions, Toronto
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November 20-21, 2003
Blackburn, YBM and Beyond: The Latest Word on Litigation Involving Brokers, Analysts, Advisors and Securities Firms
Speaker, Canadian Institute's Third Annual Advanced Forum on Securities Litigation, Toronto
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November 17-18, 2003
Dealing with Dealers: Conflict of Interest Issues
Speaker, Queen's University Annual Business Law Symposium, Kingston
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October 3-4, 2003
Dealing with Dealers: Conflict of Interest Issues
Speaker, Queen's University Annual Business Law Symposium, Kingston
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October 3-4, 2003
Current Issues in Broker-Client Litigation
Speaker, Osgoode Hall Professional Development Program, Toronto
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September 26, 2003
IDA Cross-Country Enforcement Counsel Seminar
Panelist, Toronto
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September 13, 2003
2003 Securities Investigation Training Course, Ontario Securities Commission
Speaker, Kempenfelt Conference, Barrie
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June 8-13, 2003
Regulatory Rethink
Editorial, Financial Post
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May 9, 2003
Bill 198: Working with Ontario's Proposed New Securities Law Regime
Speaker, Law Society of Upper Canada
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March 2003
Brave New World: Securities Litigation & Enforcement
Speaker, Ontario Bar Association
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February 2003
Self-Regulation Today/Tomorrow
Speaker, Presented by Canada's Self-Regulation Organizations and the CIPF
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January 2003
Fitness for Registration
Speaker, Securities Litigation, Canadian Institute
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November 2002
Regulation and Compliance Track: Mock Examination for Discovery
Speaker, IFIC's Sixteenth Annual Conference
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September 2002
Recent Developments in Ontario Securities Commission Enforcement
Speaker, Professional Development Program, Osgoode Hall Law School
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April 2002
Current Issues in Broker-Client Litigation
Speaker, Securities Litigation, Canadian Institute
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October 2001
Strategies to Consider for Approaching Settlement with the Ontario Securities Commission
Speaker, The Six-Minute Commercial Advocate, Law Society of Upper Canada
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October 2001
Issues Arising from the Settlement of Client Complaints by Investment Dealers
Speaker, Professional Development Program, Osgoode Hall Law School
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April 2001
Dealing with the OSC’s Expanding Vigilance
Speaker, Securities Superconference
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February 2001
Supervising the Supervisors
Editorial, Investment Executive
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December 2000
No Contest Pleas in Canadian Securities Regulatory Enforcement Proceedings
Editorial, The Lawyers Weekly
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September 1, 2000