Financial Services

Koziebrocki Law’s practice includes working with financial services professionals who are regulated by various bodies, including the Investment Industry Regulatory Organization of Canada (“IIROC”), the Mutual Funds Dealers Association (“MFDA”), the Financial Services Commission of Ontario (“FSCO”) and various Securities Commissions. Our firm will assist financial services professionals on the following matters:

  • Advising on various practice issues, such as those related to registration, licencing proficiency, and employment-related matters;
  • Representing financial services professionals at various stages of the complaints and discipline process; and
  • Representing financial services professionals in appeals before the Divisional Court of Ontario.