Securities Lawyer in Canada

GlickLaw is a boutique securities law firm in Canada, specializing in representing securities dealers and tradespeople facing regulatory claims.

If you’re a financial professional under investigation by the Ontario Securities Commission (OSC) or the Canadian Investment Regulatory Organization (CIRO), our seasoned regulatory lawyers will work tirelessly to advocate and advise you during the investigation and enforcement process.

Learn how GlickLaw securities lawyers can help protect you from financial and reputational harm.

We Can Assist And Act For Securities Dealers and Tradespeople On A Wide Range Of Matters, Including:

  • Representing securities dealers, mutual fund dealers and investment advisors throughout investigations conducted by the Ontario Securities Commission (OSC) or the Canadian Investment Regulatory Organization (CIRO);
  • Representing securities dealers in investigations conducted by the Joint Serious Offences Team (JSOT);
  • Representing securities dealers, mutual fund dealers and investment advisors in regulatory proceedings and litigation brought by the Ontario Securities Commission or the Canadian Investment Regulatory Organization;
  • Representing securities dealers in prosecutions brought by the Ontario Securities Committee in the Ontario Provincial Court of Justice;
  • Representing securities dealers on “Opportunities to be Heard” before Director’s Decisions on Registration Matters before the Ontario Securities Commission;
  • Representing securities dealers, mutual fund dealers and investment advisors on appeals and judicial review; and
  • Advising clients on issues related to licensing, registration and employment.

Choose GlickLaw for Securities Lawyers in Canada

GlickLaw specializes in advocating and advising securities dealers, mutual fund dealers and investment advisors to protect their interests in securities proceedings in Toronto and across Ontario. Jordan Glick was selected and trained as part of the first pro bono assistance program for securities professionals operated by the Ontario Securities Commission. He fulfilled that mandate for 3 years, gaining invaluable insight into the Ontario Securities Commission’s procedures and processes.

As seasoned securities lawyers, we understand the complexities of Ontario’s financial markets and industry regulations. We dedicate ourselves to representing our clients against reports or complaints filed with the OSC to ensure the investigation process is fair and just. Our goal is to secure the best possible outcomes for our clients.

Contact a securities law lawyer at GlickLaw today.

Frequently Asked Questions About Securities Lawyers in Canada

Securities laws are the laws and regulations that govern specific areas of finance, including stocks, bonds, and mutual funds. These regulations are designed, in part, to prevent insider trading, market manipulation, and overall fraudulent actions while simultaneously encouraging good citizenship and transparency through reporting and enforcement.

A securities dealer is an individual or financial firm licensed by the Ontario Securities Committee to trade securities.

 

In Canada, subject to exemptions, distributing securities can only occur with a filed prospectus, a disclosure document that details the issuer’s business and the specifics of the securities offered. This document is designed to protect investors.

A securities lawyer is a licensed attorney specializing in the complex and varying laws and regulations related to financial investments. A securities lawyer in Canada can help defend securities dealers, mutual fund dealers, and investment advisors against claims of wrongdoing brought forward to the OSC and CIRO.

Securities lawyers can assist you when you are under investigation by the Ontario Securities Commission for issues such as:

  • Conflict of Interest
  • Fraud
  • Misrepresentation
  • Illegal Trading
  • Market Manipulation

Our lawyers will ensure clients are met with respect and professionalism during OSC investigations and guide them on the appropriate ways to file written responses and navigate interviews.

Securities lawyers understand the complexities and nuances of financial trades, the OSC’s standards and regulations, and how to navigate regulatory claims.

 

If you’re facing a report against you as an individual or institution, hiring a securities lawyer in Canada is the first step to successfully navigating the process. Your lawyer will unpack the scope of the report and how to respond to the OSC.

 

A securities law lawyer will advocate on your behalf before the Ontario Securities Commission, the Canadian Investment Regulatory Organization, and the courts with the goal of securing the best possible results for their clients.

The OSC — Ontario Securities Commission — is an independent crown corporation responsible for regulating Ontario’s capital markets. The OSC administers and enforces compliance with Ontario’s Securities Act and Commodity Futures Act provisions.

 

The OSC works to protect investors from unfair or fraudulent practices, promote fair and competitive markets, and contribute to the overall stability of the provincial financial system.

The Canadian Investment Regulatory Organization (CIRO) is a self-regulatory organization that was formed as a successor to the Investment Industry Regulatory Organization of Canada (IIROC) and the Mutual Fund Dealers Association of Canada (MFDA). Canadian securities regulators have conferred on CIRO the power to regulate the conduct of securities dealers, including mutual fund dealers and investment advisors.

The Joint Serious Offences Team is a partnership between the OSC, the Ontario Provincial Police’s Anti-Rackets Unit, the RCMP Financial Crimes Program and the Ontario Ministry of the Attorney General. The JSOT team is a special and unique team designed to investigate and subsequently prosecute serious matters involving alleged breaches of securities law in provincial court. Matters prosecuted in provincial court are serious, and respondents may face jail time at the conclusion of a trial.

Companies in Canada are vulnerable to various kinds of securities law complaints if clients feel their practices have not been in accordance with all rules and regulations, including:

 

Insider Trading

Insider trading refers to the purchase or sale of securities of a public company while being made aware of undisclosed information about the company. Additionally, when undisclosed information or materials are known and communicated to other parties, this is considered tipping and is an extension of insider trading.

 

Fraud

Securities fraud involves misrepresenting information investors have used to make decisions about their trades or purchases. Falsifying information, tipping, and trading insider information are all considered an extension of securities fraud.

 

Misleading Corporate Disclosures

Investors and investment firms are required to provide accurate corporate disclosures to their clients. Failure to comply or falsifying disclosure is considered misleading to the public and can result in a securities law complaint filed with the OSC.

 

Trading-Related Misconduct

The business of trading should be conducted ethically and honestly. Trading-related misconduct can refer to several illegal instances, including unregistered trading, illegal distribution, or market manipulation.

Decisions of the Ontario Capital Markets Tribunal can be appealed to the Ontario Divisional Court. A Notice of Appeal must be filed within 30 days. After a Notice of Appeal is filed, a securities lawyer can assist in filing the appropriate appeal record and legal arguments for a successful appeal. After all materials are filed, the appeal will be argued in court.

GlickLaw is a trusted securities law firm in Canada, specializing in representing financial professionals against securities fraud and misconduct claims.

 

Jordan Glick was selected and trained as part of the first pro bono assistance program for securities professionals operated by the Ontario Securities Commission. He fulfilled that mandate for 3 years, gaining invaluable insight into the processes and procedures of the Ontario Securities Commission.

 

Our team of seasoned litigators understands the complexities of financial laws and regulations. We’ve dedicated our efforts to representing clients facing various claims from regulated bodies across Ontario, including the Ontario Securities Commission. We help clients navigate the claims process from the first written response to appeals.

 

As an award-winning law firm, our securities lawyers provide unique insight and expertise into regulatory issues and disputes. We are committed to getting the best possible results for our clients to minimize the financial and reputational impact on their business.

 

Submit a confidential inquiry today to learn more about our services.

The cost of a securities lawyer in Canada will vary depending on the experience and expertise of the requested counsel and their associated fees. Contact us for a breakdown of our legal fees and any associated costs related to your case.

If you’re faced with a regulatory issue before the Ontario Securities Commission or Canadian Investment Regulatory Organization, trust GlickLaw’s securities lawyers in Canada to resolve your claim with dignity and professionalism.

 

With over 40 years of cumulative experience, our securities lawyers understand the ins and outs of the financial industry and the OSC. We’re committed to helping clients in Toronto resolve their claims and receive the best possible outcome.

 

Submit a confidential inquiry today or contact our team to discuss your securities law needs.