Advisors and the law | Investment Executive https://www.investmentexecutive.com/tag/advisors-and-the-law/ Canada's news source for financial professionals Fri, 20 Mar 2026 17:57:02 +0000 en-US hourly 1 https://wordpress.org/?v=6.9.4 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Advisors and the law | Investment Executive https://www.investmentexecutive.com/tag/advisors-and-the-law/ 32 32 Appeal court upholds BCSC collection effort https://www.investmentexecutive.com/news/appeal-court-upholds-bcsc-collection-effort/ Fri, 20 Mar 2026 17:57:02 +0000 https://www.investmentexecutive.com/?p=534417 Payments from LIFs can face forfeiture, court finds

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]]> BCSC pursues disgorgement in long-running case https://www.investmentexecutive.com/news/bcsc-pursues-disgorgement-in-long-running-case/ Wed, 18 Mar 2026 17:12:54 +0000 https://www.investmentexecutive.com/?p=534177 Panel lifts stay, refines order in case that led to landmark ruling

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]]> Ex-rep sentenced in fraud case https://www.investmentexecutive.com/news/ex-rep-sentenced-in-fraud-case/ Mon, 16 Mar 2026 19:53:37 +0000 https://www.investmentexecutive.com/?p=533932 Investors lost nearly $1.4 million in long-running fraud

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]]> Rep’s loan repayment appeal rejected https://www.investmentexecutive.com/news/reps-loan-repayment-appeal-rejected/ Mon, 23 Feb 2026 14:34:40 +0000 https://www.investmentexecutive.com/?p=532260 Court upholds summary judgment in dispute over dealer's loan to rep

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]]> B.C. court sides with brokerage on loan guarantee https://www.investmentexecutive.com/uncategorized/b-c-court-sides-with-brokerage-on-loan-guarantee/ Thu, 19 Feb 2026 09:00:54 +0000 https://www.investmentexecutive.com/?p=532055 Nothing to indicate account setup was illegal, court finds

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]]> U.S. advisor gets jail for defrauding clients https://www.investmentexecutive.com/news/from-the-regulators/u-s-advisor-gets-jail-for-defrauding-clients/ Mon, 02 Feb 2026 13:00:27 +0000 https://www.investmentexecutive.com/?p=530749 Court orders prison, restitution for misappropriating investors' money

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]]> Former rep convicted on fraud charges https://www.investmentexecutive.com/news/former-rep-convicted-on-fraud-charges/ Tue, 27 Jan 2026 21:00:50 +0000 https://www.investmentexecutive.com/?p=530366 Previously banned advisor found guilty of six out of 10 counts

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]]> OSC’s disclosure issues didn’t justify stay: Tribunal https://www.investmentexecutive.com/news/oscs-disclosure-issues-didnt-justify-stay-tribunal/ Mon, 26 Jan 2026 14:40:19 +0000 https://www.investmentexecutive.com/?p=530149 Panel sought alternative remedy to address disclosure concerns

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]]> Court holds lawyer accountable for AI hallucinations https://www.investmentexecutive.com/news/from-the-regulators/court-holds-lawyer-accountable-for-ai-hallucinations/ Fri, 23 Jan 2026 09:00:08 +0000 https://www.investmentexecutive.com/?p=530101 Legal filings included citations that were made up by AI

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]]> Tribunal denies confidentiality, stay motions https://www.investmentexecutive.com/news/tribunal-denies-confidentiality-stay-motions/ Mon, 19 Jan 2026 21:58:00 +0000 https://www.investmentexecutive.com/?p=529748 Panel stresses "open courts" principle in denying closed door hearing

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