Keyword: Advisors and the law

47 results found

New SCC ruling allows fraudsters to escape regulatory penalties via bankruptcy

Judge looks at papers

Regulators' penalties don't survive bankruptcy, but disgorgement orders do, court finds

Judge looks at papers

Court rejects confidentiality in alleged wrongful dismissal case

Judge looks at papers

Gift to son denied, as it wasn't specifically set out in POA

Vacation pay

Lawsuits seeks damages for certain BMO advisors

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Court rules promissory note between rep and firm is enforceable

Judge looks at papers

CIRO doesn't need an order to use compelled evidence in its own proceedings, regulatory panel says

Duty of fairness to witnesses at investigative stage is minimal but it has been met in this case, court finds

Judge looks at papers

Appeal court overturned decision granting priority in insolvency to certain Bridging investors

Judge makes ruling

Regulatory tribunal may have erred in dismissing abuse of process application, court finds