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Litigation risk for advisors

A three-part video series for advisors on the rising risk of facing litigation, both in the courts and by regulators. John Fabello, securities lawyer and partner, Torys LLP, speaks with Patricia Chisholm, senior editor, Investment Executive. Read more in the February, Mid-February and March 2014 issues of Investment Executive.

March 4, 2014

Five key ways to avoid litigation

In part three of a three-part series, John Fabello, securities lawyer and partner, Torys LLP, explains five key ways for advisors to protect themselves from legal liability. He spoke with Patricia Chisholm, senior editor, Investment Executive at the TMX Broadcast Centre in Toronto.

  • March 4, 2014 January 21, 2018
  • 11:35

What to do if a client launches a lawsuit

Taking the right steps when a client sues can enhance your chances of success - and reduce the stress of litigation

  • March 1, 2014 March 1, 2014
  • 00:00

Best interest standard would likely increase litigation risk

In part two of a three-part series, John Fabello, securities lawyer and partner, Torys LLP, discusses the potential legal definitions of a best interest standard. He explains how a best interest standard would be viewed by courts and regulators and discusses the possible litigation impact on advisors. He spoke with Patricia Chisholm, senior editor, Investment Executive at the TMX Broadcast Centre in Toronto.

  • February 18, 2014 December 19, 2017
  • 15:25

Advisors and the art of self-defence

Even perfection may not be enough to save you from an angry client who is threatening litigation. But there are several habits and procedures that go a very long way toward protecting you from liability when things go sour

  • February 15, 2014 February 15, 2014
  • 00:00

Top three ways to protect yourself from rising litigation risk

In part one of this three-part series, John Fabello, securities lawyer and partner, Torys LLP, explains that regulatory scrutiny and alternative dispute resolution proceedings are on the rise for advisors. Fabello outlines the top three areas that trip up advisors and gives pragmatic tips on how to protect yourself from litigation. He spoke to Patricia Chisholm, senior editor, Investment Executive at the TMX Broadcast Centre in Toronto.

  • February 7, 2014 December 19, 2017
  • 10:35

Rising demands, more litigation?

With a new "best interests" standard being discussed and more clients willing to complain about losses, advisors need to assess their litigation risks

  • February 1, 2014 February 1, 2014
  • 00:00