Court rules promissory note between rep and firm is enforceable
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
Appeal court overturned decision granting priority in insolvency to certain Bridging investors
Regulatory tribunal may have erred in dismissing abuse of process application, court finds
Investors' reps challenge a ruling over who gets priority in an insolvency
Investor misunderstood difference between advisory and discretionary accounts, court found
Firm seeks to suspend the limitation period on potential claims against advisors and dealers
Rep sought to bring funds she managed for clients to new business
Red flags to guard against in your practice were outlined at an IFB event