Keyword: Advisors and the law

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Litigation risk exists even after you’re retired or unable to work

Two-way communication with regulators requires transparency

Ellen Bessner, a litigation partner at Cassels Brock & Blackwell LLP, describes her experience with regulators when defending her clients. She says regulators ought to be more transparent with enforcement notices and share information with the advisors, dealers and issuers under investigation. She spoke with Gavin Adamson at the TMX Broadcast Centre in Toronto.

Can’t see through a product? Don’t sell it

In part three of this series, Ellen Bessner, a litigation partner with Cassels, Brock and Blackwell LLP, discusses how advisors can be transparent about the products they sell. She argues that if manufacturers can’t describe products in a way that advisors can understand, then clients should not own them. She spoke at the TMX Broadcast Centre in Toronto.

Avoid surprises: Be transparent with clients

In part 2 of this series, Ellen Bessner, a partner with Cassels, Brock and Blackwell LLP in Toronto, says clients don’t like to be surprised. She describes how an advisor can avoid surprises by being transparent with clients. She spoke with Gavin Adamson at the TMX Broadcast Centre.

What advisors can learn from gatekeeper obligation cases

John Fabello, a partners with the law firm Torys LLP, describes advisors' gatekeeper obligations as described by the Investment Industry Organization of Canada, and what they can learn from regulatory investigations. He spoke with Gavin Adamson at the TMX Broadcast Centre in Toronto.

Lawyer: Advisors duty to “investigate and report” on clients

John Fabello, a securities lawyer and a partner at Torys LLP, describes the fundamentals of the Investment Industry Regulatory Organization of Canada’s so-called “gatekeeper obligation” and it means for advisors. He spoke with Gavin Adamson at the TMX Broadcast Centre in Toronto.

Lawyer: Communicating with clients during volatile markets

Proper recordkeeping of client communications is critical