Advisors and the law – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Wed, 11 Dec 2024 18:58:21 +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 Ontario court approves trailer fee class action deal https://www.investmentexecutive.com/news/from-the-regulators/ontario-court-approves-trailer-fee-class-action-deal/ Wed, 11 Dec 2024 18:58:21 +0000 https://www.investmentexecutive.com/?p=498371 TDAM to pay $70.25 million to settle class action over the payment of trailers to discount brokers

The post Ontario court approves trailer fee class action deal appeared first on Investment Executive.

]]> B.C. court upholds limitations on asset freezes https://www.investmentexecutive.com/news/from-the-regulators/b-c-court-upholds-limitations-on-asset-freezes/ Mon, 09 Dec 2024 19:11:57 +0000 https://www.investmentexecutive.com/?p=498193 Target of SEC enforcement can have access to frozen funds for appeal, court says

The post B.C. court upholds limitations on asset freezes appeared first on Investment Executive.

]]> Court rules BCSC panel’s process was unfair https://www.investmentexecutive.com/news/from-the-regulators/court-rules-bcsc-panels-process-was-unfair/ Mon, 18 Nov 2024 19:41:55 +0000 https://www.investmentexecutive.com/?p=496909 Target of insider trading case was prevented from airing abuse of process claims, court says

The post Court rules BCSC panel’s process was unfair appeared first on Investment Executive.

]]> Court to hear Binance challenge to OSC investigation https://www.investmentexecutive.com/news/from-the-regulators/court-to-hear-binance-challenge-to-osc-investigation/ Thu, 31 Oct 2024 21:19:23 +0000 https://www.investmentexecutive.com/?p=495865 Appeal Court agrees to rule once and for all on path for quashing a summons

The post Court to hear Binance challenge to OSC investigation appeared first on Investment Executive.

]]> CIRO proposes overhaul of arbitration program https://www.investmentexecutive.com/news/from-the-regulators/ciro-proposes-overhaul-of-arbitration-program/ Thu, 31 Oct 2024 19:11:45 +0000 https://www.investmentexecutive.com/?p=495842 Reforms would extend program to fund dealers, expand monetary limits, fund certain costs

The post CIRO proposes overhaul of arbitration program appeared first on Investment Executive.

]]> Lawyers vulnerable to money launderers: FINTRAC https://www.investmentexecutive.com/news/from-the-regulators/lawyers-vulnerable-to-money-launderers-fintrac/ Wed, 23 Oct 2024 20:06:14 +0000 https://www.investmentexecutive.com/?p=495377 Bulletin alerts industry firms to risky activity involving legal profession

The post Lawyers vulnerable to money launderers: FINTRAC appeared first on Investment Executive.

]]> Fund dealer fiduciary duty class action fails https://www.investmentexecutive.com/news/from-the-regulators/fund-dealer-fiduciary-duty-class-action-fails/ Tue, 22 Oct 2024 18:06:10 +0000 https://www.investmentexecutive.com/?p=495260 Court rules no evidence of common breach, given differences among investors

The post Fund dealer fiduciary duty class action fails appeared first on Investment Executive.

]]> SRO investigation clashes with legal action https://www.investmentexecutive.com/news/from-the-regulators/sro-investigation-clashes-with-legal-action/ Wed, 16 Oct 2024 13:32:33 +0000 https://www.investmentexecutive.com/?p=494849 Court rejects appeal of finding that firm could be prejudiced by settlement

The post SRO investigation clashes with legal action appeared first on Investment Executive.

]]> Justice delayed, not quite justice denied, panel says https://www.investmentexecutive.com/news/from-the-regulators/justice-delayed-not-quite-justice-denied-panel-says/ Wed, 02 Oct 2024 20:32:23 +0000 https://www.investmentexecutive.com/?p=493805 CIRO must get on with the enforcement proceeding, if that's what it intends to do

The post Justice delayed, not quite justice denied, panel says appeared first on Investment Executive.

]]> SEC sanctions investment firm’s NDAs https://www.investmentexecutive.com/news/from-the-regulators/sec-sanctions-investment-firms-ndas/ Fri, 27 Sep 2024 18:46:29 +0000 https://www.investmentexecutive.com/?p=493551 Barriers to providing information to regulators violate whistleblower protections, SEC alleges

The post SEC sanctions investment firm’s NDAs appeared first on Investment Executive.

]]>