We assist financial services professionals facing investigations, enforcement proceedings, or other legal issues before financial regulators, including the Ontario Securities Commission (OSC), the Investment Industry Regulatory Organization of Canada (IIROC), the Mutual Fund Dealers Association (MFDA), and the Financial Services Regulatory Authority of Ontario (FSRA). The lawyers at GlickLaw have extensive experience before the OSC and other financial regulators. Draw on our knowledge and experience to respond to investigations, defend yourself against enforcement proceedings, or deal with any other issue you may be facing with your regulator.

We can assist and act for Financial Services Professionals on a wide range of matters including:

  • Preparing for and responding to investigations;
  • Representing financial services professionals before tribunals in enforcement and disciplinary proceedings; and
  • Representing financial services professionals in appeals of tribunal decisions to the Divisional Court.