Legal | Investment Executive https://www.investmentexecutive.com/tag/legal/ Canada's news source for financial professionals Fri, 10 Apr 2026 18:06:53 +0000 en-US hourly 1 https://wordpress.org/?v=6.9 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Legal | Investment Executive https://www.investmentexecutive.com/tag/legal/ 32 32 Adjudicator in OSC vs. Purpose case steps down https://www.investmentexecutive.com/news/adjudicator-in-osc-v-purpose-case-steps-down/ Fri, 10 Apr 2026 18:02:44 +0000 https://www.investmentexecutive.com/?p=536027 Social relationship with regulator's key witness in case leads to recusal

The post Adjudicator in OSC vs. Purpose case steps down appeared first on Investment Executive.

]]> Supreme Court denies leave for rep’s challenge https://www.investmentexecutive.com/news/supreme-court-denies-leave-for-reps-challenge/ Thu, 09 Apr 2026 16:38:33 +0000 https://www.investmentexecutive.com/?p=535878 BCSC enforcement hearing set to resume next month

The post Supreme Court denies leave for rep’s challenge appeared first on Investment Executive.

]]> Broker not on the hook for misplaced inheritance https://www.investmentexecutive.com/news/broker-not-on-the-hook-for-misplaced-inheritance/ Tue, 07 Apr 2026 21:07:37 +0000 https://www.investmentexecutive.com/?p=535682 Clients' belief may be genuine, but there's no proof the dealer did it: court

The post Broker not on the hook for misplaced inheritance appeared first on Investment Executive.

]]> Supreme Court set to rule on ex-rep’s leave request https://www.investmentexecutive.com/news/from-the-regulators/supreme-court-set-to-rule-on-ex-reps-leave-request/ Mon, 06 Apr 2026 05:47:19 +0000 https://www.investmentexecutive.com/?p=535588 Ex-rep seeking to challenge constitutionality of BCSC records seizure

The post Supreme Court set to rule on ex-rep’s leave request appeared first on Investment Executive.

]]> Investor class-action settlement approved https://www.investmentexecutive.com/news/from-the-regulators/investor-class-action-settlement-approved/ Thu, 02 Apr 2026 18:04:19 +0000 https://www.investmentexecutive.com/?p=535491 Defendants to pay $8 million, including $2.4 million for class counsel

The post Investor class-action settlement approved appeared first on Investment Executive.

]]> FTX exec gets CFTC sanctions https://www.investmentexecutive.com/news/from-the-regulators/ftx-exec-gets-cftc-sanctions/ Thu, 02 Apr 2026 14:09:19 +0000 https://www.investmentexecutive.com/?p=535426 Trading, registration bans imposed on top engineer in new consent order

The post FTX exec gets CFTC sanctions appeared first on Investment Executive.

]]> Court chooses between pair of unfinished wills https://www.investmentexecutive.com/news/from-the-regulators/court-chooses-between-pair-of-unfinished-wills/ Wed, 01 Apr 2026 15:30:01 +0000 https://www.investmentexecutive.com/?p=535346 Draft of physical will favoured over incomplete digital edition

The post Court chooses between pair of unfinished wills appeared first on Investment Executive.

]]> Short-selling dealers stay secret https://www.investmentexecutive.com/news/short-selling-dealers-stay-secret/ Fri, 27 Mar 2026 20:20:08 +0000 https://www.investmentexecutive.com/?p=534995 IPC upholds OSC decision to preserve privacy of dealers in failed trade study

The post Short-selling dealers stay secret appeared first on Investment Executive.

]]> RBC’s legal action tossed for excessive delay https://www.investmentexecutive.com/news/rbcs-legal-action-tossed-for-excessive-delay/ Wed, 25 Mar 2026 15:44:52 +0000 https://www.investmentexecutive.com/?p=534679 Court dismisses case, citing importance of timely dispute resolution

The post RBC’s legal action tossed for excessive delay appeared first on Investment Executive.

]]> Lack of capacity suspends limitation period: court https://www.investmentexecutive.com/news/lack-of-capacity-suspends-limitation-period-court/ Mon, 23 Mar 2026 20:12:47 +0000 https://www.investmentexecutive.com/?p=534545 Lawsuit alleging man exploited in real estate deals allowed to continue

The post Lack of capacity suspends limitation period: court appeared first on Investment Executive.

]]>