Stephanie A. McManus, LL. B.

Don’t gloss over exempt market risks

If you’re selling in the exempt market, you’re offering a service as well as a product. Focus on client needs, as well as product suitability.

By Stephanie A. McManus, LL. B. |September 13, 2012

3 min read

Industry

Op Ed: Full MFDA review is needed

There has been quite a fuss over the decision by the British Columbia Securities Commission’s (BCSC) decision to censure the Mutual Fund Dealers Association (MFDA) for its proxy solicitation practices. In fact, it has not been a particularly good year for the MFDA so far when, added to the BCSC’s decision, we have the Saskatchewan court’s refusal to toss a civil suit against it and the ruling in the Mallard case as well. Both have raised questions about the integrity of the MFDA.

By Stephanie A. McManus, LL. B. |January 17, 2011

5 min read

Planning and Advice

Lessons learned from privacy violations

No disclosure of personal information without an individual’s consent is allowable under paragraph 7(3)(c) unless the legal writ (e.g. subpoena, warrant) specifically requires the disclosure to a named party or parties. The information disclosed in compliance with the legal writ under paragraph 7(3)(c) must be limited to that which is specifically requested by the writ […]

By Stephanie A. McManus, LL. B. |June 17, 2010

5 min read

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