Profile

Harveen Thauli

Harveen Thauli, Barrister & Solicitor

My Contact Information

Harveen Thauli, Barrister & Solicitor
Vancouver, BC
Phone 1: 604-649-3059

Chapter

Vancouver

Bio

I have over 20 years of experience in private practice and regulatory environments. Most of my is in practicing corporate/securities law,  professional conduct, investigations, administrative law and sports law.

Some of my representative matters include:
• I represent a consultant who allegedly participated in a cash swap scheme that involved the illegal distribution of securities.
• I assisted with preparing applications for registration as an exempt market dealer in anticipation of the BCSC’s revocation of BCI 32-517 Exemption from Dealer Registration Requirement for Trades in Securities of Mortgage Investment Entities.
• I represented with a colleague an appellant who was found to have committed fraud under securities laws in the BC Court of Appeal. I successfully argued that the penalties imposed on the appellant were disproportionate given the amount involved in the alleged fraud and his unblemished record.
• I represented corporate respondents to argue that disgorgement orders made against them were punitive and not in the public interest.
• I represented a market participant in an alleged insider trading case.
• I represented an audit committee chair in an alleged illegal distribution involving two church investment funds.
• I represented finders in terminating their referral arrangement agreement with an exempt market dealer.
• I represented a mortgage investment entity in arguing against its non-compliance with the registration exemptions under securities laws.
• I assisted with representing a defendant developer against approximately 85 plaintiffs in a complex commercial litigation matter.
• I represented lawyers under investigation by the Law Society of BC for professional conduct issues.

I'm also an Arbitrator who presides over arbitrations nationally and internationally. I was initially elected on November 21, 2017 for a two year term and then re-elected on November 19, 2019 for a four year term to the Fédération Equestre Internationale (FEI) Tribunal in Lausanne, Switzerland. I'm the first Canadian to sit on the FEI Tribunal. The FEI is the international governing body of equestrian sports. I was also appointed as a member of the BC Farm Industry Review Board (FIRB) for a term ending July 31, 2021. FIRB is an independent administrative tribunal that operates at arm's length from the BC government.

I love horses and ride competitively at a local/regional level. 

Practice Areas

  • Appeals
  • Government Investigations
  • Insider Trading
  • Internal Investigations
  • Securities & Futures Regulation
  • Securities Litigation
  • White Collar Crime