Author: Bernie LeBlanc

Disregarding an Invalid Order

If a regulator makes a flawed order, can the practitioner simply ignore it? Alberta’s highest court says “no”. In Alberta Securities Commission v Felgate, 2022

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Remediation Redux

Regulators are being given increased authority to impose remediation to address concerns about a practitioner’s practice at the complaints screening stage. While there are concerns,

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Ungovernability Onus

It is trite law that the burden of proof in discipline matters is on the regulator. However, this concept can be pushed too far. In

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Freeze Orders

A freeze order is a type of interim order made by a regulator preventing a person from dealing with their financial assets until a concern

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Bad Faith Investigations

It is difficult to sue a regulator for their investigations even if the resulting discipline hearing is resolved in the practitioner’s favour. The practitioner needs

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