Legal | Investment Executive Canada's news source for financial professionals Wed, 29 Apr 2026 13:29:18 +0000 en-US hourly 1 https://wordpress.org/?v=6.9 https://old.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Legal | Investment Executive 32 32 CFTC asserts oversight of prediction markets https://old.investmentexecutive.com/news/cftc-asserts-oversight-of-prediction-markets/ Wed, 29 Apr 2026 13:29:18 +0000 https://www.investmentexecutive.com/?p=537452 In series of legal filings, regulator claims exclusive jurisdiction

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]]> Alberta court allows class action to proceed https://old.investmentexecutive.com/news/from-the-regulators/alberta-court-allows-class-action-to-proceed/ Mon, 27 Apr 2026 20:39:44 +0000 https://www.investmentexecutive.com/?p=537289 Tolling of limitation period applies to all potential class members, court finds

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]]> Do bank customers have a right to an account? https://old.investmentexecutive.com/news/do-bank-customers-have-a-right-to-an-account/ Mon, 20 Apr 2026 14:02:31 +0000 https://www.investmentexecutive.com/?p=536622 Supreme Court to consider whether to allow appeal from ex-BMO client

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]]> Executors can be personally liable for legal costs https://old.investmentexecutive.com/news/from-the-regulators/executors-can-be-personally-liable-for-legal-costs/ Thu, 16 Apr 2026 15:21:23 +0000 https://www.investmentexecutive.com/?p=536403 Courts have discretion to award costs against a person acting for estate

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]]> Adjudicator in OSC vs. Purpose case steps down https://old.investmentexecutive.com/news/adjudicator-in-osc-v-purpose-case-steps-down/ Fri, 10 Apr 2026 18:02:44 +0000 https://www.investmentexecutive.com/?p=536027 Social relationship with regulator's key witness in case leads to recusal

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]]> Supreme Court denies leave for rep’s challenge https://old.investmentexecutive.com/news/supreme-court-denies-leave-for-reps-challenge/ Thu, 09 Apr 2026 16:38:33 +0000 https://www.investmentexecutive.com/?p=535878 BCSC enforcement hearing set to resume next month

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]]> Broker not on the hook for misplaced inheritance https://old.investmentexecutive.com/news/broker-not-on-the-hook-for-misplaced-inheritance/ Tue, 07 Apr 2026 21:07:37 +0000 https://www.investmentexecutive.com/?p=535682 Clients' belief may be genuine, but there's no proof the dealer did it: court

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]]> Supreme Court set to rule on ex-rep’s leave request https://old.investmentexecutive.com/news/from-the-regulators/supreme-court-set-to-rule-on-ex-reps-leave-request/ Mon, 06 Apr 2026 05:47:19 +0000 https://www.investmentexecutive.com/?p=535588 Ex-rep seeking to challenge constitutionality of BCSC records seizure

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]]> Investor class-action settlement approved https://old.investmentexecutive.com/news/from-the-regulators/investor-class-action-settlement-approved/ Thu, 02 Apr 2026 18:04:19 +0000 https://www.investmentexecutive.com/?p=535491 Defendants to pay $8 million, including $2.4 million for class counsel

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]]> FTX exec gets CFTC sanctions https://old.investmentexecutive.com/news/from-the-regulators/ftx-exec-gets-cftc-sanctions/ Thu, 02 Apr 2026 14:09:19 +0000 https://www.investmentexecutive.com/?p=535426 Trading, registration bans imposed on top engineer in new consent order

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