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The BC Securities Commission’s Enforcement Roundup summarizes three enforcement taken by the Commission. It also includes 17 new additions to the Investment Caution List, which warns British Columbians about unqualified investments and unregistered activities originating outside of BC but accepting BC residents as clients. If you’re uncertain about an investment opportunity, be sure to check…

In the decision of Bollhorn v. Lakehouse Custom Homes Ltd., 2024 BCCA 192 (the Decision), a full division of the BC Court of Appeal reviewed an application for leave to appeal an arbitrator’s decision. The underlying dispute involved the construction and sale of a house by the respondent. Unhappy circumstances during construction led the appellant…

The Canadian Securities Administration announced an initiative on June 20, 2024, that is intended to support capital-raising by early-stage businesses by allowing exempt market dealers (EMDs) to participate as selling group members in prospectus offerings. The announcement states: EMDs play an important role in assisting start-ups and small to medium-sized businesses raise capital by distributing…

I’m very pleased and honoured to announce that I was appointed to the Vancouver International Arbitration Centre. I will be a member of the Expedited Procedures Panel. Keep me in mind if you have a claim or counterclaim that is less than CDN$500,000.

The Court of Appeal for British Columbia’s ruling in Bollhorn v. Lakehouse Custom Homes Ltd., 2023 BCCA 444 brings attention to a potential gap in the domestic arbitration scheme, stemming from the combined effect of the Arbitration Act (BC) (the Act) and the Vancouver International Arbitration Centre’s (VanIAC) Domestic Rules for Arbitration (the Rules). Mr….

An article by Pete Syme called, “Investigators cracked a $130 million money-laundering scheme by tracing the ringleader’s air miles” discusses how investigators tracked a money-laundering scheme by tracing a ringleader’s frequent flyer miles. The Wall Street Journey initially reported that over US$131 million in cash was smuggled between London and Dubai in 83 trips. UK’s…

On December 7, 2023, the CSA published a summary of the results from its second annual systemic risk survey. The results of this survey provide the CSA with important information on market participants’ concerns about the stability of the Canadian financial system. The CSA received responses to the survey from 489 Canadian portfolio managers and…

The British Columbia Securities Commission (BCSC) is offering rewards for tips on fraud and serious market misconduct. Whistleblowers are eligible to receive a financial award of $1,000 to $500,000. The BCSC provides information on its “About the Whistleblower Program” on its website.

In an article entitled “Man accused in $78 million pump-and-dump scheme files B.C. court petition,” the Vancouver Sun shares developments in recent court filings made by British businessman, Kevin Miller against the Law Society of British Columbia. A 2015 US Securities and Exchange Commission (SEC) complaint implicated Miller and others in artificially inflating stock prices…

In a recent announcement, the Canadian Securities Administrators (CSA) is adopting a new prospectus exemption for issuers listed on a Canadian stock exchange. The Listed Issuer Financing Exemption will provide issuers with a more efficient way to raise capital by reducing regulatory burden for small offerings while maintaining investor protection.  To be eligible for the…

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