Harveen Thauli is a sole practitioner with over 20 years of experience providing legal counsel and transactional expertise. Her website, www.thaulilaw.ca details her practice areas and her blog includes articles she has written on various securities related matters.
Harveen advises and prepares documents on all matters related to corporate/securities transactions and securities law compliance, including: advising on regulatory compliance issues, continuous disclosure and financial disclosure obligations; preparing transactional agreements and regulatory filings; revising policies and procedures manuals; assisting with implementing corporate governance structures; and assessing sustainability risks. When she worked in the Commission’s Corporate Finance department, Harveen was selected to develop legislation, including harmonizing two laws related to securities regulation across Canada.
Harveen advises on investigations and enforcement actions involving possible breaches of securities laws, including fraud, insider trading, illegal distributions, and misrepresentations. She plans and writes comprehensive legal arguments and represents and defends her clients before regulatory bodies such as the Commission or in the Courts of British Columbia. Harveen gained her insight into investigative and enforcement proceedings when she worked as a senior investigator in the Commission’s Enforcement department.
Harveen started Thauli Sports Law as a sports law firm that is dedicated to sports arbitration and law. Harveen was elected on November 21, 2017 as the first Canadian to the Fédération Equestre Internationale (FEI) Tribunal in Lausanne, Switzerland. The FEI is the international governing body of equestrian sports. Tribunal members hear and decide on cases related to breaches of sport rules, statutes and regulations, and have the authority to issue fines, disqualify horses or riders from competitions or events, and suspend horses or riders for any period of time up to and including life suspensions.