Advisors and the law – Investment Executive https://uat-phoenix.investmentexecutive.com Canada's news source for financial professionals Wed, 29 Jan 2025 21:00:33 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://uat-phoenix.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Advisors and the law – Investment Executive https://uat-phoenix.investmentexecutive.com 32 32 Bridging receivership back in court next week https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/bridging-receivership-back-in-court-next-week/ Wed, 29 Jan 2025 21:00:33 +0000 https://www.investmentexecutive.com/?p=501283 Court to hear arguments over competing claims on failed alternative fund manager's assets

The post Bridging receivership back in court next week appeared first on Investment Executive.

]]> Bridging investors deserve their day in court: judge https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/bridging-investors-deserve-their-day-in-court-judge/ Thu, 23 Jan 2025 19:54:07 +0000 https://www.investmentexecutive.com/?p=500856 Quebec court refuses to stay lawsuit, saying regulatory, receivership proceedings could take years

The post Bridging investors deserve their day in court: judge appeared first on Investment Executive.

]]> Rep must repay recruitment bonus, appeal court says https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/rep-must-repay-recruitment-bonus-appeal-court-says/ Fri, 10 Jan 2025 20:14:57 +0000 https://www.investmentexecutive.com/?p=499995 Revised agreement between a rep and his former firm was valid: decision

The post Rep must repay recruitment bonus, appeal court says appeared first on Investment Executive.

]]> Ontario court approves trailer fee class action deal https://uat-phoenix.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://uat-phoenix.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://uat-phoenix.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://uat-phoenix.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://uat-phoenix.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://uat-phoenix.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://uat-phoenix.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.

]]>