Advisors and the law | Investment Executive https://www.investmentexecutive.com/tag/advisors-and-the-law/ Canada's news source for financial professionals Wed, 03 Dec 2025 20:29:55 +0000 en-US hourly 1 https://wordpress.org/?v=6.8.3 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 Court rejects attempt to revive lawsuit against rep, RBC DS https://www.investmentexecutive.com/news/court-rejects-attempt-to-revive-lawsuit-against-rep-rbc-ds/ Wed, 03 Dec 2025 20:29:55 +0000 https://www.investmentexecutive.com/?p=526930 Investor tried to argue that rep's title misled the courts

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]]> Court rejects FSRA appeal on agent’s licensing https://www.investmentexecutive.com/news/court-rejects-fsra-appeal-on-agents-licensing/ Fri, 28 Nov 2025 21:59:06 +0000 https://www.investmentexecutive.com/?p=526590 Tribunal made no error in overruling regulator, court finds

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]]> Court orders AMF tribunal to consider settlement https://www.investmentexecutive.com/news/court-orders-amf-tribunal-to-consider-settlement/ Tue, 18 Nov 2025 18:36:55 +0000 https://www.investmentexecutive.com/?p=525700 Adjudicator declined to review settlement before long enforcement hearing

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]]> As family fights, court names independent estate rep https://www.investmentexecutive.com/news/from-the-regulators/as-family-fights-court-names-independent-estate-rep/ Mon, 10 Nov 2025 15:20:48 +0000 https://www.investmentexecutive.com/?p=524935 Court cites competence, cost certainty in appointing administrator

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]]> Court upholds terms of dealer non-compete https://www.investmentexecutive.com/news/court-upholds-terms-of-dealer-non-compete/ Tue, 28 Oct 2025 19:13:03 +0000 https://www.investmentexecutive.com/?p=523833 Motion judge made no error in finding dealer entitled to fee refund, appeal court says

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]]> Crypto platform not liable for scam victim’s losses https://www.investmentexecutive.com/news/from-the-regulators/crypto-platform-not-liable-for-scam-victims-losses/ Thu, 23 Oct 2025 17:58:13 +0000 https://www.investmentexecutive.com/?p=523442 Court finds platform met duty of care to investor, who ignored its warnings

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]]> Botched beneficiary switch results in legal mess https://www.investmentexecutive.com/news/from-the-regulators/botched-beneficiary-switch-results-in-legal-mess/ Wed, 24 Sep 2025 13:23:38 +0000 https://www.investmentexecutive.com/?p=520977 Estate trustee challenges life insurance payout, claiming unjust enrichment

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]]> CIRO breach has advisors on high alert https://www.investmentexecutive.com/news/from-the-regulators/ciro-breach-has-advisors-on-high-alert/ Fri, 19 Sep 2025 20:38:02 +0000 https://www.investmentexecutive.com/?p=520385 Compromised data is starting to show up on the dark web

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]]> Appeal court upholds proposed class action https://www.investmentexecutive.com/news/from-the-regulators/appeal-court-upholds-proposed-class-action/ Fri, 05 Sep 2025 14:11:20 +0000 https://www.investmentexecutive.com/?p=519204 Medical imaging firm faces allegations it made material misrepresentations in its disclosures

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]]> Not court’s job to make will fair https://www.investmentexecutive.com/news/from-the-regulators/not-courts-job-to-make-will-fair/ Wed, 27 Aug 2025 19:38:47 +0000 https://www.investmentexecutive.com/?p=518572 B.C. appeal court upholds interpretation of novel clause in will

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