Appeal from Ontario Securities Commission decision upholding finding of conduct unbecoming a registrant by the Investment Industry Regulatory Organization of Canada. Administrative law – Admissibility – Conduct of Hearings – Conduct unbecoming – Decisions of administrative tribunals – Evidence – Hearings – Investment Regulatory Organization of Canada – Judicial Review – Procedural requirements and fairness ...
Administrative law – Decisions of administrative tribunals – Investment Regulatory Organization of Canada – Securities Commission – Stock brokers – Professional governance and discipline – Professional misconduct / conduct unbecoming – Hearings – Conduct of hearings – Judicial review – Standard of review – Reasonableness simpliciter – Procedural requirements and fairness – Evidence – admissibility Northern ...
Administrative law – Decisions of administrative tribunals – Securities Commission – Stock brokers – Disciplinary proceedings – Penalties – Judicial review – Evidence – Compliance with legislation Walton v. Alberta (Securities Commission), [2014] A.J. No. 909, 2014 ABCA 273, Alberta Court of Appeal, August 29, 2014, P.W.L. Martin, F.F. Slatter JJ.A. and R.E. Nation J. ...
Administrative law – Decisions of administrative tribunals – Securities Commission – Stock brokers – Professional governance and discipline – Competence – Investigations – Judicial review – Compliance with legislation – Evidence – Procedural requirements and fairness – Bias Taylor v. Ontario (Securities Commission), [2013] O.J. No. 4988, 2013 ONSC 6495, Ontario Superior Court of Justice, ...
Administrative law – Decisions of administrative tribunals – Securities Commission – Investigations – Stock brokers – Professional misconduct / conduct unbecoming – Disciplinary proceedings – Freezing of bank accounts – Public interest – Judicial review – Compliance with legislation – Jurisdiction – Standard of review – Reasonableness simpliciter Zhu v. British Columbia (Securities Commission), [2013] ...
Administrative law – Decisions of administrative tribunals – Securities Commission – Stock brokers – Disciplinary proceedings – Investigations – Penalties and suspensions – Judicial review – Compliance with legislation – Natural justice – Procedural requirements and fairness – Evidence – Standard of review – Reasonableness simpliciter British Columbia (Securities Commission) v. Alexander, [2013] B.C.J. No. ...
Administrative law – Decisions of administrative tribunals – Securities Commission – Stock brokers – Disciplinary proceedings – Settlements – Judicial review – Bias – Procedural requirements and fairness – Disclosure Rankin v. Ontario (Securities Commission), [2013] O.J. No. 259, 2013 ONSC 112, Ontario Superior Court of Justice, January 11, 2013, M. Brown R.S.J., P.T. Matlow ...
Administrative law – Decisions of administrative tribunals – Securities Commission – Stock brokers – Disciplinary proceedings – Practice and procedure – Examination for discovery – Judicial review – Legislative compliance – Jurisdiction of court – Privilege and immunity – Evidence – Disclosure – Relevance of information disclosed Nova Scotia (Securities Commission) v. Potter, [2012] N.S.J. ...
Administrative law – Decisions of administrative tribunals – Securities Commission – Stock brokers – Disciplinary proceedings – Penalties – Public interest – Judicial review – Compliance with legislation – Standard of review – Correctness – Failure to provide reasons – Limitations McLean v. British Columbia (Securities Commission), [2011] B.C.J. No. 2124, 2011 BCCA 455, British Columbia ...
Administrative law – Decisions of administrative tribunals – Securities Commission – Rules and by-laws – Stock brokers – Disciplinary proceedings – Judicial review – Investigations – Compliance with legislation – Disclosure – Relevance of information disclosed – Standard of review – Reasonableness simpliciter Golden Capital Securities Ltd. v. Investment Industry Regulatory Organization of Canada, [2010] ...