“Sanctions Ordered by SROs Facing Increased Scrutiny from Regulators” By Aaron Gold and Ellen Bessner BABIN BESSNER SPRY LLP
Aaron and Ellen outline real-life examples that suggest that provincial securities regulators may be increasing their willingness to interfere with and replace sanctions imposed by Self-Regulatory Organizations (SROs). It is in their power to do so, however, traditionally has been reserved for exceptional cases.