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Searching Content indexed under Financial Services by McLennan Ross LLP ordered by Published Date Descending.
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Dealing With Securities Commissions
If you are a director, officer, auditor, or even an employee of a public corporation, one day you could receive an official letter from a Securities Commission.
Canada
20 Mar 2014
2
Vicarious Liability Of Investment Firm Upheld For Acts Of Sponsored Investment Advisor
In a recent case against an investment advisor and the firm who sponsored his registration to sell mutual funds and other financial products, the Ontario Court of Appeal upheld findings of direct and vicarious liability on a broker/dealer.
Canada
7 Jun 2013
3
Directors And Officers Liability Decision May Have Chilling Effect On Lawyers
A recent and somewhat startling decision of the Ontario Superior Court of Justice may send a chill through law firms across Canada where their lawyers sit on a Board of Directors for a company that is also a client of the law firm.
Canada
28 Jan 2013
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