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The Litigator
AGM :: Affleck Greene McMurtry LLP

THE LITIGATOR

Affleck Greene McMurtry LLP
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IIROC and MFDA Can Now Collect Fines in Court

Litigator Contributors

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 orders of the court. In early 2017, the Ontario Government released Budget for 2017 , which called for more effective enforcement measures in the investment regulatory regime. The legislative change essentially provides that if a member (or more likely former member) fails to pay the fine following a disciplinary hearing, IIROC or the MFDA will be able to attempt to collect the amount owing as if such was a judgment obtained a civil ... [more] Full article

Limitation periods still matter in broker/dealer cases, appeal shows

The limitation period starts to run when the plaintiff has knowledge of a wrong and the facts that would constitute a cause of action, the Ontario Court of Appeal reaffirmed ... [more] Full article

OSC announces “no-contest” settlement program

The Ontario Securities Commission decided it will now settle enforcement proceedings in some cases without requiring admissions of fault (announced on March 11, 2014). This changes the OSC’s prior practice of generally requiring parties subject to enforcement to openly admit ... [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


Broker/Dealer litigation Contributors

Kenneth A. Dekker

Kenneth A. Dekker

Affleck Greene McMurtry LLP

Kenneth (Ken) Dekker, a partner of the firm, is a successful trial and appellate lawyer who is valued by his clients as a resourceful and practical litigation counsel. With almost two decades of experience, Ken has appeared before all levels of courts in Ontario, including the Superior Court of Justice, the Divisional Court and the Court of Appeal for Ontario, as well as before the Supreme Court of Canada.

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Peter R. Greene

Peter R. Greene

Affleck Greene McMurtry LLP

Peter is a widely recognized and renowned litigator with substantial expertise in high profile and complex Commercial Litigation at the trial and appellate levels.

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Christopher Somerville

Christopher Somerville

Affleck Greene McMurtry LLP

Chris Somerville demonstrates broad-ranging skills and knowledge in the areas of commercial and civil litigation, securities and employment law.

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