Experienced OSC & CIRO Investigation Lawyers
Ghahhary Thomas LLP provides strategic defence for individuals and organizations facing investigations by Canadian securities regulators. Our lawyers act as OSC investigation lawyers and CIRO investigation lawyers in complex regulatory matters involving securities law compliance, enforcement actions, and disciplinary proceedings.
We represent executives, directors, registrants, investment professionals, and companies navigating investigations initiated by the Ontario Securities Commission (OSC), the Canadian Investment Regulatory Organization (CIRO), and other provincial securities regulators.
Our lawyers combine deep regulatory knowledge with strong advocacy experience. With backgrounds in litigation, regulatory defence, and complex financial disputes, we provide clear strategic guidance during highly sensitive investigations.
Representation in Securities Regulatory Investigations
We defend clients in investigations conducted by securities regulators and self-regulatory organizations, including:
- Ontario Securities Commission (OSC) investigations
- Canadian Investment Regulatory Organization (CIRO) enforcement proceedings
- Market conduct and trading investigations
- Insider trading and market manipulation allegations
- Registration and compliance investigations
- Misrepresentation and disclosure-related matters
Regulatory investigations often begin with requests for documents, interviews, or formal examination under oath. Early legal guidance can be critical to protecting a client’s rights and managing exposure.
We advise clients from the earliest stages of an investigation through hearings, enforcement proceedings, and potential settlement discussions.
Responding to Regulatory Investigations
Being the subject of a securities investigation can have serious professional and reputational consequences. Our securities regulatory lawyers provide strategic advice on:
- Responding to regulatory inquiries and information requests
- Preparing for compelled interviews or examinations
- Managing document production obligations
- Navigating parallel regulatory and civil proceedings
- Developing defence strategies during enforcement investigations
We work closely with clients to ensure responses to regulators are accurate, strategic, and consistent with broader legal objectives.
Enforcement Hearings & Disciplinary Proceedings
If an investigation progresses to enforcement action, our lawyers represent clients before securities regulators and disciplinary tribunals.
Our advocacy includes:
- Representation in OSC enforcement hearings
- CIRO disciplinary proceedings
- Settlement negotiations with regulators
- Appeals and judicial review of regulatory decisions
- Defence against administrative penalties and sanctions
We provide disciplined courtroom advocacy combined with a detailed understanding of Canadian securities regulatory frameworks.
Strategic Counsel in Regulatory Investigations
Securities regulatory investigations often involve broader consequences beyond the legal proceeding itself, including:
- Professional licensing implications
- Regulatory sanctions and financial penalties
- Market reputation and investor confidence
- Parallel civil or criminal exposure
Our team provides strategic advice that addresses these broader risks while guiding clients through the regulatory process with clarity and confidence.
Why Clients Engage Ghahhary Thomas LLP
Clients facing securities regulatory investigations engage our firm because we offer:
- Strong litigation and regulatory defence experience
- Strategic representation in high-stakes investigations
- Clear guidance during complex regulatory proceedings
- Experience defending professionals and financial institutions
- Discretion and professionalism in sensitive matters
Our lawyers approach regulatory investigations with precision, discipline, and a focus on protecting our clients’ professional and legal interests.
Speak With an OSC Investigation Lawyer
If you are facing an investigation by the Ontario Securities Commission, CIRO, or another securities regulator, contact Ghahhary Thomas LLP to discuss your situation in confidence. Early legal advice can be critical to protecting your rights and responding effectively to regulatory scrutiny.
