View this program to understand the process of securities or regulatory investigation by the OSC and how to ensure your clients are prepared.  Gain a solid understanding of practical issues such as:

• How does a matter get the OSC’s attention?
• What is the process, from investigation to a hearing?
• What are the potential penalties / outcomes?
• The pros and cons of voluntary compliance with OSC requests for information vs. a s. 13 summons
• Assisting clients at an interview - when to invoke the Evidence Act
• Responding to an "Enforcement Notice"
• What to do when you receive a subpoena or police arrive at your office
• Missing client and no instructions: what to do
• When the lawyer is victim of fraud, what if anything, can he/she disclose to police? 
• What if you get a call from the regulator asking for information about your client?

PROGRAM CHAIRS

Barbara Hendrickson, BAX Securities Law
Kathleen E. Skerrett, Partner, Gardiner Roberts LLP

SPEAKERS

Julia Dublin, Barrister & Solicitor
James Camp, Camp Advocacy
Simon Bieber, Partner, Wardle Daley Bernstein Bieber LLP