Laésha J. Smith successfully resolved a misconduct referral made by the Capital Markets Regulation division to the Enforcement division of BC Securities Commission in relation to an investment fund’s potential breach of section 34(a) of the Securities Act and section 14 of the Securities Rules.

For more information on related legal issues, please contact Laésha.

Poulus Ensom LLP notes that, in many of our cases, our clients prize their privacy. In other cases, the matters are not of public record. For these reasons, we describe certain outcomes confidentially.