A three-part video series for advisors on the rising risk of facing litigation, both in the courts and by regulators. John Fabello, securities lawyer and partner, Torys LLP, speaks with Patricia Chisholm, senior editor, Investment Executive. Read more in the February, Mid-February and March 2014 issues of Investment Executive.
March 4, 2014In 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.
Taking the right steps when a client sues can enhance your chances of success - and reduce the stress of litigation
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.
Even perfection may not be enough to save you from an angry client who is threatening litigation. But there are several habits and procedures that go a very long way toward protecting you from liability when things go sour
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.
With a new "best interests" standard being discussed and more clients willing to complain about losses, advisors need to assess their litigation risks
Follow our coverage of Bridging Finance Inc., a portfolio manager and exempt market dealer based in Toronto.
We dive into the intricacies of ETFs and investigate how the market is responding to recent trends.
The cease-trade order on all 11 ETFs from Emerge Canada Inc. represented the first time such an order had been placed on a family of…
