Cases
Representative Work: Laura has been involved in representing numerous market participants including investment dealers, mutual fund
futures dealers
individual registrants in multiple matters regarding: The defence of civil proceedings, regulatory investigations
enforcement proceedings involving matters such as the Universal Market Integrity Rules, alternative trading systems
other trade desk issues including deceptive
manipulative trading, insider trading, material non-disclosure, misrepresentation, suitability of retail investments, discretionary or unauthorized trading, new product offerings, product due diligence including issues surrounding private equity or prospectus-exempt investments, variable insurance products, research, investment banking
underwriting activities, outside business activities, anti-money laundering, fitness for registration
other liability for alleged misconduct.
The defence of investigations
enforcement proceedings before provincial securities commissions, the Investment Industry Regulatory Organization of Canada, the Mutual Funds Dealers' Association
other regulatory tribunals.
The conduct of internal investigations by dealers on varied compliance related issues.
Commercial arbitrations
other civil proceedings regarding disputes in respect of introducer/carrier broker
prime brokerage agreements.
Ongoing advice in respect of unregistered
outside business activities by market participants including Ponzi schemes, pump
dump, anti-money laundering,
other fraudulent schemes subject to criminal investigation.
Ongoing advice on all issues arising from both retail
institutional client complaints including the involvement of the Ombudsman for Banking Services
Investments ( OBSI ).
Ongoing advice on a wide range of compliance issues which include the development
review of operational
supervisory policy
procedures.
