Financial Services Conduct & Employment Lawyer


The Financial Services sector may have the most complex web of regulations of any sector, from the Bank Act, to the Proceeds of Crime (Money Laundering) Terrorist Financing Act, to Ontario's Securities Act, which are easy to run afoul of even unknowingly. And the immense human resources required to keep the industry humming means that 780,000 people are employed there (Conference Board of Canada, 2015), 250,000 of those in Toronto alone. That combination of lots of regulation and lots of people gives rise to significant conduct and employment legal risks which must be managed. 

We assist organizations and licensed professionals within the financial services sector in dealing with government and professional regulators in the context of demands of information, compliance audits, and enforcement proceedings. We provide advice on obligations to comply, assist with responses, and advocate for clients before government and professional boards, tribunals and courts. 

We also advice on and facilitate the resolution of employment law situations, regardless of whether you are an employer or employee working in the sector. Employment contracts, confidentiality agreements, pay and benefits, harassment, and dismissal can all involve complex legal issues where timely advice from a lawyer is required to prevent or reduce workplace conflicts, and secure or defend against entitlement claims. 

Contact us today to discuss your financial services employment law or professional conduct situation.