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HTMLAguas v. State of New Jersey
Brian S. Cousin, Richard I. Scharlat; Dentons Canada LLP;
Legal Alert/Article
April 14, 2015, previously published on March 2, 2015
In Ilda Aguas v. State of New Jersey, the New Jersey Supreme Court tackled two issues that were not "expressly decided" in Lehmann v. Toys 'R' Us, Inc., 132 N.J. 587 (1993), a seminal decision interpreting the New Jersey Law Against Discrimination, N.J.S.A. §§ 10:5-1 et seq....

 

Adobe PDFResults Are In: Year of the Horse Ends with a Record Fine of USD 975 Million for Qualcomm
Hannah C. L. Ha, John M. Hickin; Mayer Brown JSM;
Legal Alert/Article
April 14, 2015, previously published on February 18, 2015
On 10 February 2015, China’s National Development and Reform Commission (NDRC) announced that it was imposing fines of RMB 6.088 billion (approximately USD 975 million) on Qualcomm for abusing its dominant position in the CDMA, WCDMA and LTE wireless communication standard essential patents...

 

HTMLUpdate on the Revision of the Uniform Unclaimed Property Act
Kate F. Buckley, Scott Brian Clark, Sara R. Werner, Richard M. Zuckerman; Dentons Canada LLP;
Legal Alert/Article
April 14, 2015, previously published on March 6, 2015
Here is a quick update on a few of the critical issues being addressed by the Drafting Committee of the Uniform Law Commission (ULC), which is working on a revised Uniform Unclaimed Property Act.

 

HTMLNot so much “Know Your Client” as “Ignore Your Client”
James Gibson, Landon Miller, Laura Paglia; Borden Ladner Gervais LLP;
Legal Alert/Article
April 13, 2015, previously published on February 04, 2015
Following a contested hearing on the merits, on January 5, 2015, IIROC fined Grant Patrick Matthews (the “Respondent”) $200,000, plus costs of $20,000 and imposed a 5 year prohibition on registration. This was as a result of suitability infractions in respect of 4 clients from January...

 

HTMLFines Imposed for Inappropriate DSC Charges
James Gibson, Landon Miller, Laura Paglia; Borden Ladner Gervais LLP;
Legal Alert/Article
April 13, 2015, previously published on February 04, 2015
Following an uncontested hearing on the merits, on January 23, 2015, IIROC fined Paul Christopher Darrigo (the “Respondent”) $60,000 representing a disgorgement of commissions of $50,000 plus an additional fine of $10,000 due to his improper sales of mutual funds with deferred sales...

 

HTMLUnsuitability for Physician of Leveraged ETFs.
James Gibson, Landon Miller, Laura Paglia; Borden Ladner Gervais LLP;
Legal Alert/Article
April 13, 2015, previously published on February 04, 2015
In December 2014, IIROC released a settlement agreement with Paul Milot (the “Respondent”). The settlement arose from one complaint by a 48 year old physician with investment objectives of 60% to 90% growth and 20% high risk. She earned $65,000 to $85,000 per year with net holdings of...

 

HTMLDirectors & Officers: Shareholders Remain Restricted in Breach of Fiduciary Duty Claims
James Gibson, Landon Miller, Laura Paglia; Borden Ladner Gervais LLP;
Legal Alert/Article
April 13, 2015, previously published on February 04, 2015
This decision confirms that, contrary to the rule in certain U.S. jurisdictions, shareholders will only rarely be able to make a fiduciary breach claim directly against an officer or director of a corporation. To do so, they must establish not only an independent relationship with the defendant...

 

HTMLProviding Alberta Securities Commission Investigation Materials SEC Does Not Violate the Charter
James Gibson, Landon Miller, Laura Paglia; Borden Ladner Gervais LLP;
Legal Alert/Article
April 13, 2015, previously published on February 04, 2015
On January 22, 2015, the Alberta Court of Queen’s Bench determined in Beaudette v Alberta (SecuritiesCommission), 2015 ABQB 57, that providing information gathered by the Alberta Securities Commission (“ASC”) during the course of their investigation to foreign agencies does not...

 

HTMLGuidance on Underwriting Due Diligence
James Gibson, Landon Miller, Laura Paglia; Borden Ladner Gervais LLP;
Legal Alert/Article
April 13, 2015, previously published on February 04, 2015
On December 18, 2014, IIROC published its long anticipated Guidance Respecting Underwriting Due Diligence (“Guidance”). The new Guidance has been in force since its publication.

 

HTMLRevised Sanction Guidelines
James Gibson, Landon Miller, Laura Paglia; Borden Ladner Gervais LLP;
Legal Alert/Article
April 13, 2015, previously published on February 04, 2015
On January 13, 2015 IIROC released its Revised Sanction Guidelines (“Guidelines”) effective February 2, 2015. The Guidelines consolidate and replace all previous versions of both the Dealer Member Disciplinary Sanction Guidelines and the UMIR Disciplinary Sanction Guidelines into one...

 


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