September 15, 2004
BCSC Capital Ideas Conference, James A. (Sasha) Angus, Director, Enforcement: Protecting Investors: A Common Goal


... I am here to speak of the Enforcement side of things, and I thought the image of death on the screen appropriate. You may know that there was a tradition in the Middle Ages of inviting a person dressed as death to attend banquets for otherwise happy events: baptisms, Christmas feasts, medieval capital ideas conferences, things of that nature. And that figure is meant to represent the mutability of human life, the transitory nature of happiness in this world. Now, at this conference, Doug Hyndman and Steve Wilson agreed that enforcement is like death at the feast. We are chilling, but we are necessary. I am here to remind you, perhaps just by being here, of the unhappy consequences of not complying with the rules which have been so reasonably presented by Lang and by Martin. So I hope you were listening to them. Of course, as is usually the case at these meetings, those who take the trouble and time to attend these kinds of sessions are not generally the ones who need to worry. It is those who do not attend these sessions that Enforcement is often interested in interviewing and trying to find...

View PDF New window