laura paglia

LAURA PAGLIA
Associée
T 416.367.6050
F 416.361.2771
Toronto
[email protected]
Litige relatif aux valeurs mobilières
Actions collectives
Criminalité des cols blancs
Litige relatif au droit des sociétés et droit commercial
Formation / Admission au Barreau
EXECUTIVE SUMMARY
LLM (Securities, Business), Osgoode
Hall Law School, 2014
Laura Paglia is the Regional Co-lead of Borden Ladner Gervais' Securities Litigation
and Regulatory Group. Laura has practiced in securities law and regulatory matters
throughout her legal career.
LLB, Osgoode Hall Law School, 1995
Ontario, 1997
Laura's practice encompasses the representation of numerous full service and discount
investment dealers, mutual fund dealers, futures dealers, investment funds,
underwriters, private funds, investment banks, introducing and clearing firms,
investment advisors, portfolio managers, compliance professionals, research analysts,
directors and officers, industry associations and other market participants.
Laura provides ongoing legal advice on compliance, regulatory and securities industry
issues as well as representation in civil proceedings and a variety of regulatory
proceedings and investigations conducted by provincial securities commissions, the
Investment Industry Regulatory Organization of Canada, the Mutual Fund Dealers
Association of Canada and other regulatory bodies, the Crown and federal criminal
authorities.
Laura's practice includes disputes in respect of various alleged securities law breaches,
shareholder right litigation, mergers and acquisition/take-over bid litigation and
directors' and officers' liability.
Laura provides various in-house training programs for various market participants and
is a frequent speaker on and written contributor to topical securities issues.
REPRESENTATIVE WORK
Laura has been involved in representing numerous market participants including
investment dealers, mutual fund and futures dealers and individual registrants in
multiple matters regarding:

The defence of civil proceedings, regulatory investigations and
enforcement proceedings involving matters such as the Universal Market
Integrity Rules, alternative trading systems and other trade desk issues
including deceptive and manipulative trading, insider trading, material
non-disclosure, misrepresentation, suitability of retail investments,
discretionary or unauthorized trading, new product offerings, product due
diligence including issues surrounding private equity or prospectus-
Avocats | Agents de brevets et de marques de commerce
© 2016 Borden Ladner Gervais
S.E.N.C.R.L., S.R.L.
(«BLG»). Tous droits réservés
exempt investments, variable insurance products, research, investment
banking and underwriting activities, outside business activities, antimoney laundering, fitness for registration and other liability for alleged
misconduct.

The defence of investigations and enforcement proceedings before
provincial securities commissions, the Investment Industry Regulatory
Organization of Canada, the Mutual Funds Dealers' Association and
other regulatory tribunals.

The conduct of internal investigations by dealers on varied compliance
related issues.

Commercial arbitrations and other civil proceedings regarding disputes in
respect of introducer/carrier broker and prime brokerage agreements.

Ongoing advice in respect of unregistered and outside business activities
by market participants including Ponzi schemes, "pump and dump", antimoney laundering, and other fraudulent schemes subject to criminal
investigation.

Ongoing advice on all issues arising from both retail and institutional
client complaints including the involvement of the Ombudsman for
Banking Services and Investments ("OBSI").

Ongoing advice on a wide range of compliance issues which include the
development and review of operational and supervisory policy and
procedures.
PUBLICATIONS & PRESENTATIONS

Author, "Canada Gets Serious on Enforcement​," Compliance Week,
March, 2015.​

​Author, “Incentivizing Reports of Misconduct: The OSC Proposes New
Whistleblower Program,”BLG Securities and Capital Markets Bulletin,
February 2015 (with Philippe Tardif, Rebecca Cowdery and Andrew
McLean).
RANKINGS & RECOGNITIONS

​Selected by peers for inclusion in the 2017 edition (and since 2013) of
The Best Lawyers in Canada® (Corporate and Commercial Litigation).

Recognized in the 2016 and 2015 edition of Benchmark Litigation - The
Definitive Guide to Canada's Leading Litigation Firms & Attorneys as a
"Future Star: Ontario."

Recognized in the 2015 edition (and since 2012) of The Canadian Legal
Lexpert® Directory (Repeatedly recommended in Litigation – Securities).
À PROPOS DE BORDEN LADNER GERVAIS S.E.N.C.R.L., S.R.L
Borden Ladner Gervais S.E.N.C.R.L., S.R.L. (BLG) est un grand cabinet juridique canadien
qui offre à ses clients une gamme complète de services, principalement en droit des
affaires, litige commercial et arbitrage ainsi que propriété intellectuelle. BLG est l’un des
Avocats | Agents de brevets et de marques de commerce
© 2016 Borden Ladner Gervais
S.E.N.C.R.L., S.R.L.
(«BLG»). Tous droits réservés
premiers cabinets juridiques en importance au pays; il compte plus de 725 avocats,
agents de propriété intellectuelle et autres professionnels dans 5 grandes villes du
Canada. BLG répond aux besoins de ses clients, que ce soit en matière de litige, de
financement ou d’enregistrement de brevets et de marques de commerce.
Avocats | Agents de brevets et de marques de commerce
© 2016 Borden Ladner Gervais
S.E.N.C.R.L., S.R.L.
(«BLG»). Tous droits réservés