Regulatory and Professional Disciplinary Matters

Rosen & Company Barristers excels in defending individuals and corporations in a full spectrum of regulatory proceedings. We act for clients who are under investigation and/or respondents to hearings in proceedings involving:


  • Law Society of Upper Canada (LSUC);
  • Ontario Securities Commission (OSC);
  • Investment Industry Regulatory Organization of Canada (IIROC);
  • Mutual Fund Dealers Association (MFDA);
  • Tax Court of Canada (TCC);
  • Financial Services Commission of Ontario (FSCO);
  • Institute of Chartered Accountants of Ontario

Our expertise as criminal defence counsel also equips us to defend clients when regulators pursue "quasi-criminal" charges under the Securities Act, the Competition Act, the Income Tax Act, the Occupational Health and Safety Act, the Environmental Protection Act, and other federal and provincial regulatory legislation.


We understand that whether one is fighting for their liberty, their livelihood, or both, an adverse decision can have devastating consequences. Regardless of the allegations or the forum in which we appear, we defend our clients' interests with vigour and zeal.