Category: News

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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Public Statements

Increasingly, regulators are being asked to deal with complaints that a practitioner made public statements without a reasonable basis for making them. Another example of

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I Should Not Be Seeing This

Sometimes regulators come across information that they were not intending to see. Responding appropriately can be important. In a civil case, two business partners were

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Streamlined Discipline Hearings

Many regulators have recurring issues that some practitioners seem to ignore. Often, they involve a failure to comply with a routine obligation. For example, many

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Alleging Intent

In discipline matters, regulators generally do not have to prove that the practitioner had malicious or dishonest intent to engage in the conduct. Failing to

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