We are lawyers for financial services professionals who are regulated by various bodies, including the Investment Industry Regulatory Organization of Canada (“IIROC”), the Mutual Funds Dealers Association (“MFDA”), the Financial Services Regulatory Authority of Ontario (“FSRA”), and the Ontario Securities Commission.

How We Assist Financial Services Professionals

Our team of defence lawyers will assist financial services professionals on various regulatory matters, including the following:

  • Advising on various practice issues, such as those related to registration, licencing proficiency, and employment-related matters;
  • Representing financial services professionals at various stages of the complaints and discipline process; and
  • Representing financial services professionals in appeals before the Divisional Court of Ontario.