Lexis Nexis The Law Relating to Investment Advisors
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Product description
What's Inside
Written by two industry experts, this book provides a comprehensive look at the law that applies to investment advisors in the common law provinces of Canada, and covers three separate spheres: the relationship between the advisor and his or her regulator, the relationship between the advisor and his or her client, and the relationship between the advisor and his or her employer. Readers of The Law Relating to Investment Advisors will benefit from the detailed examination of Canadian common law cases that have dealt with the subject and helped shape it.
In particular, this volume includes:
- An overview of the legal framework of the investment industry
- An examination of the professional regulatory system and discipline process
- An assessment of the relationship between investment advisors and their clients
- An analysis of situations where a client sues their investment advisor
- A review of the investment advisor-employer relationship
The Law Relating to Investment Advisors would be a valuable addition to the bookshelf of anyone involved in the investment industry, as well as those who represent them, including:
- Litigation lawyers, and securities litigators in particular, so they can both advise clients on suing their investment advisors and the financial institutions that employ them and defend investment advisors and financial institutions against client lawsuits
- Corporate/securities lawyers, so they can gain a general understanding of the issues involved in this practice area
- In-house counsel at financial institutions and investment houses that employ investment advisors so they can effectively advise them on avoiding liability and defend both their organization and the advisor in the event of lawsuits
- Counsel at regulatory bodies such as the Ontario Securities Commission and the Investment Industry Regulatory Organization of Canada
- Investment advisors so they can better appreciate the legal framework that governs their business and learn how to avoid liability
Table of contents
Chapter 1 – Regulatory and Legislative Context
A. Introduction
B. Canadian Securities Regulation
C. Investment Advisors in the Securities Regulation Scheme
Chapter 2 – Professional Regulation and Discipline
A. Introduction
B. The Regulatory Relationship
C. Substantive Obligations and Contraventions Subject to Discipline
D. Procedural Issues
E. Penalties
F. Appeal and Review
Chapter 3 – The Relationship with the Client
A. Introduction
B. Nature of the Relationship
C. Duties of the IA to the Client
Chapter 4 – Client Claims: Defences, Damages and Procedure
A. Introduction
B. Defences to Client Claims
C. Damages
D. Procedural Issues and Practice Points
Chapter 5 – The Employment Relationship: Part I
A. Introduction
B. Nature of the Relationship
C. Terms of the Relationship
D. The "Book of Business" in Family Law Proceedings
Chapter 6 – The Employment Relationship: Part II
A. Introduction
B. Terminating the Relationship
C. Obligations Respecting Competition
D. Remedies for Wrongful Competition
