The Litigator

THE LITIGATOR

Commentary on Law Affecting Business

The Litigator
AGM :: Affleck Greene McMurtry LLP

THE LITIGATOR

Affleck Greene McMurtry LLP
365 Bay Street, Suite 200  ·  Toronto, Canada
416 360 2800  ·  info@agmlawyers.com  ·  www.thelitigator.ca

MFDA


 

Controversy as IIROC proposes merger with MFDA

In a publication released this month titled Improving Self-Regulation for Canadians, the Investment Industry Regulatory Organization of Canada (“IIROC”) has, among other things, proposed a merger of itself with another ... [more] Full article

IIROC and MFDA Can Now Collect Fines in Court

On May 17, 2017, Bill 127 amended the Securities Act which allows both IIROC and the MFDA to file their  disciplinary decisions with the Superior Court of Justice as enforceable ... [more] Full article

MFDA panel finds that branch manager might have duty to monitor non-registrants at branch

The self regulatory organization for mutual fund dealers, the Mutual Fund Dealers Association of Canada ("MFDA"), made an interesting decision on May 8, 2012 on a motion by a branch ... [more] Full article

Statements to Securities Commission are protected by absolute privilege

In his decision this Fall in Fraleigh v. RBC Dominion Securities, Ontario Superior Court Justice Newbould summarily dismissed an action brought by John Fraleigh against RBC Dominion Securities and one of its employees. The action was brought for allegedly false statements and testimony given before the Ontario Securities Commission claiming unusual trading activity in his RBC trading accounts – information that was later published in media reports. In dismissing Fraleigh’s action, Justice Newbould found that the claim arose entirely from testimony and other related communications to the OSC; communications that are protected by absolute privilege. [more] Full article