Advisors and the law – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Wed, 20 Mar 2024 19:36:47 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 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 32 32 B.C. court certifies vacation pay class action https://www.investmentexecutive.com/news/from-the-regulators/b-c-court-certifies-vacation-pay-class-action/ Wed, 20 Mar 2024 12:52:53 +0000 https://www.investmentexecutive.com/?p=482352 Lawsuits seeks damages for certain BMO advisors

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]]> Former rep on the hook for recruitment loan https://www.investmentexecutive.com/news/from-the-regulators/former-rep-on-the-hook-for-recruitment-loan/ Thu, 15 Feb 2024 18:49:32 +0000 https://www.investmentexecutive.com/?p=480563 Court rules promissory note between rep and firm is enforceable

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]]> Tribunal calms SRO worries about enforcement disclosure https://www.investmentexecutive.com/news/from-the-regulators/tribunal-calms-sro-worries-about-enforcement-disclosure/ Mon, 04 Dec 2023 21:46:44 +0000 https://www.investmentexecutive.com/?p=476512 CIRO doesn't need an order to use compelled evidence in its own proceedings, regulatory panel says

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]]> B.C. court rejects challenge to regulator’s summons https://www.investmentexecutive.com/news/from-the-regulators/b-c-court-rejects-challenge-to-regulators-summons/ Mon, 27 Nov 2023 21:24:56 +0000 https://www.investmentexecutive.com/?p=476073 Duty of fairness to witnesses at investigative stage is minimal but it has been met in this case, court finds

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]]> Bridging investors must be treated equally, ruling says https://www.investmentexecutive.com/news/from-the-regulators/bridging-investors-must-be-treated-equally-ruling-says/ Mon, 20 Nov 2023 16:36:17 +0000 https://www.investmentexecutive.com/?p=475629 Appeal court overturned decision granting priority in insolvency to certain Bridging investors

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]]> Court to hear appeal of BCSC stay ruling https://www.investmentexecutive.com/news/from-the-regulators/court-to-hear-appeal-of-bcsc-stay-ruling/ Thu, 26 Oct 2023 21:36:28 +0000 https://www.investmentexecutive.com/?p=474139 Regulatory tribunal may have erred in dismissing abuse of process application, court finds

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]]> Bridging investor priority ruling faces appeals https://www.investmentexecutive.com/news/from-the-regulators/bridging-investor-priority-ruling-faces-appeals/ Mon, 14 Aug 2023 14:03:19 +0000 https://www.investmentexecutive.com/?p=470005 Investors' reps challenge a ruling over who gets priority in an insolvency

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]]> B.C. court upholds ruling in advisor’s favour https://www.investmentexecutive.com/news/from-the-regulators/b-c-court-upholds-ruling-in-advisors-favour/ Fri, 11 Aug 2023 19:29:56 +0000 https://www.investmentexecutive.com/?p=469969 Investor misunderstood difference between advisory and discretionary accounts, court found

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]]> Stopping the clock on advisor lawsuits over Bridging https://www.investmentexecutive.com/news/from-the-regulators/stopping-the-clock-on-advisor-lawsuits-over-bridging/ Mon, 27 Mar 2023 18:02:51 +0000 https://www.investmentexecutive.com/?p=462790 Firm seeks to suspend the limitation period on potential claims against advisors and dealers

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]]> Court sides with firm in dispute over advisor-managed funds https://www.investmentexecutive.com/news/from-the-regulators/court-sides-with-firm-in-dispute-over-advisor-managed-funds/ Wed, 18 Jan 2023 20:24:49 +0000 https://www.investmentexecutive.com/?p=458835 Rep sought to bring funds she managed for clients to new business

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