In its recent decision in Taub v. Investment Dealers Association of Canada, Ontario’s Divisional Court reined in an attempt by the Investment Dealers Association of Canada (now known as the Investment Industry Regulatory Organization of Canada, or IIROC) to discipline a former investment advisor, despite the fact that he had not been an IDA member for more than a year.

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Regulation – Court decisions arising from private litigation under the common law (in Quebec, the Civil Code), and statutory remedies that supplement the common law, are an essential and often overlooked component of the regulation of businesses in Canada.

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On March 22, 2006, the Telecommunications Policy Review Panel issued a report recommending reliance on market forces and competition policy, instead of regulation, in the telecom sector.

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THE RULE When asked to speak on the impact of technological changes taking place in the retail stock market on the "Know Your Client Rule", I was somewhat at a loss in that if you had asked me several months ago what "Surfing the Net" meant I would have thought it was a surf in [...]

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