In part three of a three-part series, John Fabello, securities lawyer and partner, Torys LLP, explains five key ways for advisors to protect themselves from legal liability. He spoke with Patricia Chisholm, senior editor, Investment Executive at the TMX Broadcast Centre in Toronto.
In part two of a three-part series, John Fabello, securities lawyer and partner, Torys LLP, discusses the potential legal definitions of a best interest standard. He explains how a best interest standard would be viewed by courts and regulators and discusses the possible litigation impact on advisors. He spoke with Patricia Chisholm, senior editor, Investment Executive at the TMX Broadcast Centre in Toronto.
In part one of this three-part series, John Fabello, securities lawyer and partner, Torys LLP, explains that regulatory scrutiny and alternative dispute resolution proceedings are on the rise for advisors. Fabello outlines the top three areas that trip up advisors and gives pragmatic tips on how to protect yourself from litigation. He spoke to Patricia Chisholm, senior editor, Investment Executive at the TMX Broadcast Centre in Toronto.
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.
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.
Proper recordkeeping of client communications is critical