In its recently published Budget for 2017, the Ontario Government is proposing to allow self-regulatory organisations (SROs), such as the Mutual Fund Dealers Association ( MFDA) and the Investment Industry Regulatory Organization of Canada ( IIROC) to file their disciplinary decisions with the court, in order to collect fines levied against individuals, particular from those who are no longer working in the industry. Stay tuned for our analysis of these proposed legislative changes and their potential impact to the investment industry.
The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.
