Michael J. Horgan & Associates

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Michael J. Horgan & Associates Inc. is one of Canada's leading consulting firms to the investment industry. Our network of consultants and associates have more than 400 years of experience.  We provide advisory services to our clients on regulatory compliance and litigation support as well as on all issues involving operations and internal controls.

Our clients include banks, investment dealers, mutual fund dealers, and law firms. 

Previous assignments include:

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Part of a due diligence team in connection with a $1.5 billion purchase of a US broker by a major Canadian bank

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Dealt with various credit/compliance crises for investment dealers

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Developed compliance manuals for both IDA and MFDA members

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Established a central complaint bureau for a large dealer

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Provided expert opinions for both litigation and arbitration

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Conducted a review of compliance procedures for a dealer

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Reviewed a variety of cases for securities regulators

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Conducted confidential investigations

Contact us for more information on our services.

 

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Copyright © 2002 Michael J. Horgan & Associates Inc.  All rights reserved.

Tel: 416-603-8647

Fax: 416-603-9159