IN FACT AND IN LAW EXPRESS
OCRCVM v. Beaudoin and AMF (C.A.) – Courts of justice cannot homologate a disciplinary decision in the absence of a specific legislative provision to that effect
By :
Dina Raphaël - December 2011
The Investment Industry Regulatory Organization of Canada (IIROC, formerly known as the Investment Dealers Association of Canada (IDA)) is a self-regulatory organization recognized by the Autorité des marchés financiers (AMF), which mainly deals with disciplinary complaints against its members. For this purpose, the IIROC has supervisory and investigative powers as well as the power to impose disciplinary sanctions. It can impose various penalties on its members, including fines.
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