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	<title>The Litigator - Affleck Greene McMurtry, LLP &#187; mutual fund dealer</title>
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	<link>http://www.thelitigator.ca</link>
	<description>Competition Law and Commercial Litigation Updates</description>
	<lastBuildDate>Tue, 15 May 2012 13:41:01 +0000</lastBuildDate>
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		<title>MFDA panel finds that branch manager might have duty to monitor non-registrants at branch</title>
		<link>http://www.thelitigator.ca/2012/05/mfda-panel-finds-that-branch-manager-might-have-duty-to-monitor-non-registrants-at-branch/</link>
		<comments>http://www.thelitigator.ca/2012/05/mfda-panel-finds-that-branch-manager-might-have-duty-to-monitor-non-registrants-at-branch/#comments</comments>
		<pubDate>Thu, 10 May 2012 21:00:08 +0000</pubDate>
		<dc:creator>Kenneth Dekker</dc:creator>
				<category><![CDATA[Broker/Dealer litigation]]></category>
		<category><![CDATA[Securities Litigation]]></category>
		<category><![CDATA[branch manager]]></category>
		<category><![CDATA[insurance]]></category>
		<category><![CDATA[MFDA]]></category>
		<category><![CDATA[mutual fund dealer]]></category>
		<category><![CDATA[supervision]]></category>

		<guid isPermaLink="false">http://www.thelitigator.ca/?p=1375</guid>
		<description><![CDATA[The self regulatory organization for mutual fund dealers, the Mutual Fund Dealers Association of Canada (&#34;MFDA&#34;), made an interesting decision on May 8, 2012 on a motion by a branch manager to strike out a regulatory proceeding arising from allegations that he failed to adequately monitor and report the wrongful activities of an insurance salesperson [...]]]></description>
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		<title>Statements to Securities Commission are protected by absolute privilege</title>
		<link>http://www.thelitigator.ca/2009/12/statements-to-securities-commission-are-protected-by-absolute-privilege/</link>
		<comments>http://www.thelitigator.ca/2009/12/statements-to-securities-commission-are-protected-by-absolute-privilege/#comments</comments>
		<pubDate>Wed, 02 Dec 2009 05:06:45 +0000</pubDate>
		<dc:creator>Kenneth Dekker</dc:creator>
				<category><![CDATA[Attacks on Reputation]]></category>
		<category><![CDATA[Commercial Litigation]]></category>
		<category><![CDATA[Securities Litigation]]></category>
		<category><![CDATA[absolute privilege]]></category>
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		<category><![CDATA[defamatory]]></category>
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		<category><![CDATA[Fraleigh]]></category>
		<category><![CDATA[IDA]]></category>
		<category><![CDATA[IIROC]]></category>
		<category><![CDATA[investment dealer]]></category>
		<category><![CDATA[libel]]></category>
		<category><![CDATA[MFDA]]></category>
		<category><![CDATA[mutual fund dealer]]></category>
		<category><![CDATA[Newbould]]></category>
		<category><![CDATA[Ontario]]></category>
		<category><![CDATA[OSC]]></category>
		<category><![CDATA[qualified privilege]]></category>
		<category><![CDATA[quasi-judicial]]></category>
		<category><![CDATA[RBC]]></category>
		<category><![CDATA[regulator]]></category>
		<category><![CDATA[salesperson]]></category>
		<category><![CDATA[securities]]></category>
		<category><![CDATA[slander]]></category>
		<category><![CDATA[Superior Court]]></category>
		<category><![CDATA[testify]]></category>
		<category><![CDATA[testimony]]></category>
		<category><![CDATA[uniform termination notice]]></category>

		<guid isPermaLink="false">http://www.thelitigator.ca/?p=515</guid>
		<description><![CDATA[In his decision this Fall in Fraleigh v. RBC Dominion Securities, Ontario Superior Court Justice Newbould summarily dismissed an action brought by John Fraleigh against RBC Dominion Securities and one of its employees. The action was brought for allegedly false statements and testimony given before the Ontario Securities Commission claiming unusual trading activity in his RBC trading accounts – information that was later published in media reports. In dismissing Fraleigh’s action, Justice Newbould found that the claim arose entirely from testimony and other related communications to the OSC; communications that are protected by absolute privilege.]]></description>
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