The Litigator
The Litigator
AGM :: Affleck Greene McMurtry LLP
Affleck Greene McMurtry LLP
365 Bay Street, Suite 200  ·  Toronto, Canada
416 360 2800  ·  ·



MFDA and IIROC Members vote to amalgamate and form “New SRO”

In a vote held on September 29, 2022, members of the Mutual Fund Dealers Association of Canada (MFDA) and the Investment Industry Regulatory Organization of Canada (IIROC) voted and passed ... [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

IIROC Increases mandatory arbitration award limits to $500,000

On January 14, 2010, the Investment Industry Regulatory Association of Canada (“IIROC”), the self regulatory organization (SRO) that regulates all investment dealers in Canada, enacted what is almost certain to be a major expansion of its 15-year-old mandatory arbitration program. In particular, IIROC has increased from $100,000 to $500,000 the upper limit on client claims that are required to be resolved through binding arbitration if the client requests it. [more] Full article