Litigation, Compliance and Regulatory Law

Practice Areas

Regulatory Advice 

 

 Gerry’s experience as a prosecutor meshed well with his role as Senior Litigation Counsel in the Enforcement Branch of the Ontario Securities Commission (OSC).  At the OSC, he was a named investigator in confidential investigation orders, sometimes involving international regulatory bodies including the Financial Conduct Authority (United Kingdom), the U.S. Commodities Futures Trading Commission and the U.S. Department of Justice. 

Throughout his career, Gerry has had a sustained interest in areas where people and organizations are placed in a position of conflict with government authority. He gained a deep appreciation of director obligations and how senior management and the three lines of defence should apply an appropriate risk based approach to: 

  • Codes of Conduct
  • Regulatory Compliance
  • Ethical Implications arising out of adoption of "Artificial Intelligence" and machine learning tools
  • Data Protection and Privacy
  • Surveillance and Monitoring
  • Policy and Program Development
  • Training, Education and Awareness and evidence of same including periodic staff attestation
  • Internal issue escalation and review of lines of managerial communication
  • Incident and issue response for internal misconduct
  • Remediation post-incident (e.g. - financial and/or reputational harm)
  • Regulatory (and other) investigations
  • Generating adequate and defensible records of compliance and incident response activity
  • Defensible digitization, data retention and deletion policies
  • Director and senior management personal exposure to regulatory investigation and sanction
  • FINTRAC Director Reviews and Appeals to Federal Court

 

Call McGeachy Law to inquire about receiving regulatory advice tailored to your unique situation.