Rebecca Cowdery, Prema Thiele

Regulating against securities fraud

The United States Securities and Exchange Commission has been under tremendous public scrutiny over the still on-going Bernard Madoff “Ponzi-scheme” scandal. Indeed, the U.S. Congress has accused the SEC of chronic blindness in ignoring credible allegations about Madoff’s improprieties. Unlike the SEC under current U.S. securities laws, Canadian securities regulators directly regulate, with minimal exceptions, […]

By Rebecca Cowdery, Prema Thiele |July 3, 2009

4 min read

Planning and Advice

Privacy matters: High-net-worth clients desire control

(August 2008) Privacy is often confused with confidentiality, although the two are quite distinct concepts. Privacy has its underpinnings in basic human rights law. Privacy laws apply to information about natural persons — individual clients, not institutions or businesses. Privacy also applies to personal information about employees in certain limited circumstances. So why does privacy […]

By Rebecca Cowdery, Prema Thiele |August 18, 2008

3 min read

Planning and Advice

To incorporate or not?

(February 2008) The long-standing debate on whether registered salespersons should be permitted to incorporate has been recently recharged. In October 2007, the Manitoba Securities Commission exempted Canadian corporations from the dealer registration requirement under the Manitoba Securities Act solely to allow them to receive commissions and fees from dealers, provided certain conditions are met. To […]

By Rebecca Cowdery, Prema Thiele |February 22, 2008

5 min read