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Three risk tolerance traps

Ellen Bessner and Dan Richards explain three common approaches to managing clients' risk tolerance that leave advisors open to litigation risk (Part 5 of 8)

Three KYC traps

Ellen Bessner and Dan Richards explain three key common know-your-client pitfalls that can lead to lawsuits (Part 4 of 8)

Prepare for the next mystery shop

Ellen Bessner and Dan Richards discuss the key takeaways from the OSC's 2015 mystery shop exercise and give tips on handling regulators' upcoming mystery shops (Part 3 of 4)

Stay on top of your clients’ circumstances by following up with them regularly to inquire about their personal situations

Three shortcuts that can cause legal trouble

Ellen Bessner and Dan Richards discuss three common advisor shortcuts that can lead to lawsuits in the long term (Part 2 of 8)

The investors are suing 16 directors claiming negligence, breach of fiduciary and statutory duties, and that the directors’ actions were oppressive

Court rules in favour of labour-sponsored venture fund against fund manager

Investment manager is not able to collect bonuses after dismissal because contract stated he must be “actively employed” with the firm for a four-year period

Court rules in favour of labour-sponsored venture fund against fund manager

The two class action lawsuits alleged that Manulife misrepresented the adequacy of its risk-management practices and failed to meet its disclosure obligations

The risk of accepting dangerous prospects

Ellen Bessner and Dan Richards discuss how to screen out problem prospects before they become clients (Part 1 of 8)

Ask key questions to prospects to screen for good clients