About this Area of Expertise
Boughton has a Risk Management and Compliance Group with extensive experience advising brokerage firms and individual registrants on risk management and compliance regimes and on a broad range of civil, regulatory, and compliance matters. Our group also has extensive experience both prosecuting and defending civil complaints brought by investors against registrants. We also handle regulatory investigations and enforcement proceedings brought against registrants.
Our group has handled a wide range of matters on behalf of clients which include:
- defending civil actions brought by individuals against brokerage firms and individual investment advisors;
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representing plaintiffs in civil claims brought against brokerage firms;
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assisting brokerage firms in arbitrations brought by claimants under the Investment Industry Regulatory Organization of Canada (IIROC), operated through the British Columbia International Commercial Arbitration Centre; and
- advising and defending brokerage houses and Investment Advisors against complaints made against them by individual investors to the IIROC and securities regulators. This includes interviews with IIROC investigators, disciplinary hearings before the IIROC panel, and resolution and settlement negotiations with the IIROC counsel. Group members have also provided assistance in similar matters with securities regulators such as the TSX Venture Exchange and the B.C. Securities Commission.
Our group members have appeared before all levels of trial and appellate courts in British Columbia, the Federal Court of Canada and the Supreme Court of Canada. They have also appeared as counsel before the BC Securities Commission, IIROC, and the Mutual Fund Dealers Association. We have a thorough knowledge and understanding of the commercial environments applicable to the securities and capital markets.
Key Contacts
*Personal Law Corporation
