Public & Private Securities Enforcement: Improving Recovery for Harmed Investors Conference

FAIR Canada and Osgoode Hall Law School co-hosted a conference in Toronto on October 26, 2015 entitled Public and Private Enforcement: Improving Recovery for Harmed Investors. Summaries for each panel and full video recordings are available by clicking on the links below.

Agenda

Opening Remarks
Lorne Sossin, Dean, Osgoode Hall Law School, York University
Neil Gross, Executive Director, FAIR Canada
Poonam Puri, Professor of Law, Osgoode Hall Law School, York University

Keynote Address
Monica Cowal, Vice Chair, Ontario Securities Commission

Panel 1: Relationship between Public Regulatory Enforcement and Private Securities Class Actions
Video recording
Panelists:
Wendy Berman, Partner, Cassels Brock & Blackwell LLP
James D. Cox, Brainerd Currie Professor of Law, Duke University School of Law
Adam Pritchard, Frances and George Skestos Professor of Law, University of Michigan Law School
Joel Rochon, Partner, Rochon Genova LLP
Moderator:
Poonam Puri, Professor of Law, Osgoode Hall Law School, York University

Panel 2: Investor Recovery Facilitated by Securities Regulators
Video recording

Panelists:
Jean-Francois Fortin, Executive Director – Enforcement, Autorité des marchés financiers
Urska Velikonja, Associate Professor of Law, Emory University School of Law
Verity Winship, Professor of Law, University of Illinois College of Law
Moderator:
Adam Pritchard, Frances and George Skestos Professor of Law, University of Michigan Law School

Panel 3: Jurisdictional Issues Involving Foreign Investors, Foreign Exchanges and Foreign Public Companies
Vid
eo recording

Panelists:
Hannah Buxbaum, John E. Schiller Chair in Legal Ethics, University of Indiana Maurer School of Law
Larry Lowenstein, Partner, Osler, Hoskin & Harcourt LLP
Douglas Worndl, Partner, Siskinds LLP
Moderator:
Cynthia Williams, Osler Chair in Business Law, Osgoode Hall Law School, York University

Panel 4: Harmed Investor, Speedy Recovery: Industry Funded Investor Compensation Funds
Video recording

Panelists:
Shayne Kukulowicz, Partner, Cassels Brock & Blackwell LLP
Mark Neale, CEO, UK’s Financial Services Compensation Scheme (by video-link)
Louise Gauthier, Senior Director, Distribution Policies and Compensation, Autorité des marchés financiers
Robert Pouliot, Director, Canadian Foundation for Advancement of Investor Rights
Moderator:
Gil Lan, Associate Professor, Ryerson University Ted Rogers School of Management

Panel 5: The Impact of Whistleblower Programs on Investor Recovery
Video recording

Panelists:
Dominic Auld, Partner, Bleichmar Fonti Tountas & Auld LLP
Stephen L. Cohen, Associate Director – Enforcement Division, U.S. Securities and Exchange Commission
David Conklin, Partner, Goodmans LLP
Jordan Thomas, Partner, Labaton Sucharow LLP
Moderator:
Tom Atkinson, Director of Enforcement, Ontario Securities Commission

Panel 6: Achieving Efficient and Effective Settlements under the OSC’s New No-Contest Settlement Scheme
Video recording

Panelists:
Anita Anand, Professor of Law, University of Toronto Faculty of Law
Philip Anisman, Barrister & Solicitor
Stephen L. Cohen, Associate Director – Enforcement Division, U.S. Securities and Exchange Commission
Kelly Gorman, Deputy Director – Enforcement, Ontario Securities Commission
Moderator:
Mary G. Condon, Professor of Law, Osgoode Hall Law School, York University

Panel 7: Recovery for Investors through Ombudservices
Video recording

Panelists:
Sarah P. Bradley, Ombudsman and Chief Executive Officer, Ombudsman for Banking Services and Investment
Mercer E. Bullard, Professor of Law and Mississippi Defense Lawyers Association Distinguished Lecturer, The University of Mississippi School of Law
Sujatha Sekhar Naik, Chief Executive Officer, Securities Industry Dispute Resolution Centre
Shane Tregillis, Chief Ombudsman, Financial Ombudsman Service (Australia) – (by video-link)
Moderator:
Janis Sarra, UBC Presidential Distinguished Professor, University of British Columbia Peter A. Allard School of Law

Closing Remarks
Marian Passmore, Director of Policy and Chief Operating Officer, FAIR Canada