Journal

Volume 42 | Number 3 Summer 2007

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Corporate Gatekeeper Liability in Canada

by Stephanie Ben-Ishai

Summary

  1. Introduction

  2. Corporate Gatekeeper Liability Theory

  3. The Canadian System
    1. Common Law
    2. Statutory Liability
      1. Corporate Statutes
      2. Securities Statutes
      3. Secondary Market Liability
    3. Other Regulatory Regimes
      1. Provincial Securities Commissions
      2. Market Regulation Services Inc.
      3. Professional Regulatory Bodies
        1. Provincial Law Societies
        2. Investment Dealers Association of Canada
        3. Provincial Institutes of Chartered Accountants
        4. International Organization of Securities Commission
    4. Criminal and Quasi-Criminal Liability
  4. Locating the Canadian System in an International Context
    1. Directors
    2. Lawyers
    3. Auditors
    4. Credit Rating Agencies
    5. Financial Analysts
    6. Retail Investment Advisors
    7. Underwriters
  5. Conclusion

Footnotes

For complete footnote citations, download the PDF.

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