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Documents on alternative dispute resolution
 

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HTMLRevised Uniform Arbitration Act (Senate Bill 37)
Mark H. Dellinger, Robert J. Kent, Ashley Hardesty Odell, Brian M. Peterson; Bowles Rice LLP;
Legal Alert/Article
April 14, 2015, previously published on March 16, 2015
Arbitration has become a much more common process for resolving employment disputes between employers and employees. Today, for instance, many employment contracts typically contain provisions requiring the parties to arbitrate their employment disputes. Likewise, some non-union employers...

 

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...

 

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.

 

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...

 

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...

 

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...

 

HTMLFact Witnesses As Experts: Westerhof v Gee Estate, 2015 ONCA 206
Ewa Krajewska; Borden Ladner Gervais LLP;
Legal Form
April 9, 2015, previously published on April 3, 2015
In Westerhof v Gee Estate, the Ontario Court of Appeal decided that participant experts and non-party experts may give opinion evidence without complying with Rule 53.03. In other words, a fact witness who is considered an expert may give opinion evidence without filing an expert report or...

 

HTMLIGAD to Establish International Arbitration Center in Djibouti
Thomas R. Snider; Greenberg Traurig, LLP;
Legal Alert/Article
April 7, 2015, previously published on March 10, 2015
The Intergovernmental Authority on Development (IGAD), which consists of member states Djibouti, Eritrea, Ethiopia, Kenya, Somalia, South Sudan, Sudan, and Uganda, will establish an international arbitration center in Djibouti focused on resolving business disputes in the region. The decision to...

 


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