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

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

Lessons learned from privacy violations

A Summons to Witness can be considered a subpoena in certain circumstances for the purposes of paragraph 7(3)(c) of the Act. Three cases in the last two years emanating from the Office of the Privacy Commission of Canada remind us that when it comes to complying with privacy requirements, it’s not enough to simply post […]

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

5 min read