David Phillips

David Phillips

Bennett Jones LLP

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IIROC Proposes Guidance for Underwriting Due Diligence

The Investment Industry Regulatory Organization of Canada (IIROC) published proposed guidance on March 6, 2014, setting forth nine key principles for underwriting due diligence....more

3/19/2014 - Due Diligence Private Offerings Prospectus Public Offerings Underwriting

Damages Awarded Against Underwriter for Failing to Complete a Bought Deal

The Ontario Superior Court of Justice recently awarded damages of just over $16 million against Thomas Weisel Partners Canada Inc. (now Stifel Nicolaus Canada Inc.) for failing to close on a bought deal private placement...more

3/22/2013 - Bought Deal Letters Bought Deals Canada Damages Private Placements Termination Clauses Underwriting

Indemnification Claims Under the CCAA A - Caution for Underwriters, Auditors, Directors and Others

Indemnification clauses are often considered a critical component of risk mitigation strategies in legal relationships. However, as is well understood, the value of an indemnification clause, in the event it becomes...more

1/25/2013 - Auditors CCAA Directors Equity Claims Indemnification Clauses Insolvency Risk Mitigation Securities Underwriting

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