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The Latest Word on Securities Enforcement

On February 24, 2010, Ellen Bessner spoke on a panel discussion entitled, "The Latest Word on Securities Enforcement" at The Canadian Institute's 20th Annual Securities Superconference.

The Panel Discussion focused on:

• The latest initiatives from SROs and provincial regulators
• Update on recent developments from IMET and the RCMP
• Best practices for avoiding prosecution or civil liability
• Top tips for working with securities regulators: knowing what to do and say
• Cooperating and settling with regulators: when is this in your best interest?
• dealing with issues of privilege
• Exploring cross-border and multi-lateral enforcement
• Navigating the penalties for non-compliance
• Lessons learned from recent cases: has the Livent case changed the enforcement landscape in Canada?
• How will the federal government’s promises to crack down on corporate crime impact securities enforcement?

Ellen is a litigation partner who has developed a special niche representing investment dealers, mutual fund dealers, Portfolio Managers, compliance officers, branch managers/supervisors, and advisors in Ontario courts of all levels and at various regulatory tribunals, including IIROC, MFDA, OSC and FSCO. Ellen has been recognized by the MFDA as an independent consultant for testing and reporting purposes and has also been retained by software suppliers to support design efforts to reduce company risk.