CASE COMMENT: R. v. von Anhalt – Case Summary. On January 30, 2007, Justice J.C. Moore found Emilia von Anhalt guilty of 65 charges and Jurgen von Anhalt guilty of 27 charges in relation to the promotion, distribution and sale of shares of their company, Lydia Diamond Exploration of Canada Limited (“Lydia”).
DEFENSIVE PRACTICE TIP: It is standard practice in the investment industry for each firm is to have a method of categorizing each client’s tolerance for risk. That categorization, together with the categorization of the client’s income versus growth objectives and other relevant client information, is then used as the basis for any suitability analysis of the client holdings.

type Brokers' Report - May 2007