Fondation du Barreau du Québec

This project focuses on the way in which the financial sector treats vulnerable investors when regulatory bodies take disciplinary measures against dealers and their representatives. The project will examine the decisions of self-regulatory bodies (IIROC, MFDA and CSF) over the last five years in Ontario and Quebec with a view to determining whether and to what extent vulnerability is taken into consideration in disciplinary proceedings and to making recommendations for stronger vulnerable investor protection.