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Advisor’s Costly Conflict: Court Upholds OSC’s $500K Penalty and Industry Ban against Advisor who inherited from elderly client

Ardita Sinojmeri
Affleck Greene McMurtry LLP February 19th, 2025

Summary In Marrone v Ontario Securities Commission, 2024 ONSC 4750, the Ontario Divisional Court recently upheld a 2023 decision of the Ontario Securities Commission (OSC) sanctioning the appellant, a former ... [more] Full article

It has a name! New Self-Regulatory Organization (finally) announces its new name

Kenneth A. Dekker
Affleck Greene McMurtry LLP May 16th, 2023

On January 1, 2023, the amalgamation of investment industry self-regulatory organizations, the Investment Industry Regulatory Organization of Canada (“IIROC”) and the Mutual Fund Dealers Association of Canada (“MFDA”) became official. ... [more] Full article

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Advisor’s Costly Conflict: Court Upholds OSC’s $500K Penalty and Industry Ban against Advisor who inherited from elderly client

It has a name! New Self-Regulatory Organization (finally) announces its new name

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