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The Litigator
AGM :: Affleck Greene McMurtry LLP

THE LITIGATOR

Affleck Greene McMurtry LLP
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SROs to Receive More Power at the Expense of Procedural Fairness

Litigator Contributors

The Ontario Government is proposing to allow self-regulatory organizations (SROs) to use the civil court system to collect fines from their current and former members. The Budget for 2017, released earlier this year, calls for more effective enforcement measures in the investment regulatory regime by permitting SROs such as the Mutual Fund Dealers Association (MFDA) and the Investment Industry Regulatory Organization of Canada (IIROC) to register disciplinary decisions and penalty orders with the courts. In the event that a member (or more likely former member) fails to pay the fine following a disciplinary hearing, the SRO will be able to ... [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 more than 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.

Contributor's Profile

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.

Contributor's Profile

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