MFDA panel finds that branch manager might have duty to monitor non-registrants at branch
The self regulatory organization for mutual fund dealers, the Mutual Fund Dealers Association of Canada ("MFDA"), made an interesting decision on May 8, 2012 on a motion by a branch manager to strike out a regulatory proceeding arising from allegations that he failed to adequately monitor and report the wrongful activities of an insurance salesperson who operated in his branch but did not actually work for the mutual fund dealer at issue. In the MFDA proceeding Re: Gabriele Gentile, it is alleged that the Respondent failed to take adequate steps to monitor and investigate a licensed insurance agent who worked ... [more]
Mutual fund leveraging class action certified
Request to Admit served during adjournment of trial allowed by court
Insurance Bureau must supply data pending hearing
Contributors
- Administrative Law (RSS) (23)
- Constitutional Law (RSS) (13)
- Municipal Law (RSS) (6)
- Political & Elections Law (RSS) (5)
- Announcements (RSS) (92)
- Canadian Law (RSS) (7)
- Canadian Law Whitepapers (RSS) (3)
- Case Summaries (RSS) (4)
- Commercial Litigation (RSS) (297)
- Anti-SLAPP (RSS) (3)
- Appeals and Judicial Review (RSS) (29)
- Arbitration (RSS) (20)
- Attacks on Business Interests (RSS) (5)
- Attacks on Reputation (RSS) (4)
- Banking Litigation (RSS) (10)
- Broker/Dealer litigation (RSS) (9)
- Civil Litigation (RSS) (13)
- Class Actions (RSS) (54)
- Conflicts of Law and Enforcement of Foreign Judgments (RSS) (16)
- Construction (including Performance and L&M Bond Defense) (RSS) (4)
- Corporate Litigation (RSS) (11)
- Debtor-Creditor and Banking Litigation (RSS) (11)
- Defamation (RSS) (9)
- Disputes over Contracts (RSS) (39)
- Disputes within Companies and Partnerships (RSS) (16)
- Employment Litigation (RSS) (32)
- Enforcement of Foreign Judgments (RSS) (7)
- Franchises (RSS) (4)
- Frauds, Misrepresentation, Deceit (RSS) (20)
- Injunctions (RSS) (10)
- Insurance Defence (RSS) (5)
- Intellectual Property (RSS) (5)
- International Trade (RSS) (6)
- Investor-State Disputes (RSS) (3)
- Legal Crisis Management (RSS) (2)
- Mediation and other Alternative Dispute Resolution (RSS) (8)
- Privacy Law (RSS) (4)
- Privilege (RSS) (1)
- Products Liability (RSS) (3)
- Professional Negligence and Discipline Hearings (RSS) (11)
- Remedies for Emergency Relief (RSS) (2)
- Securities Litigation (RSS) (74)
- Securities Regulatory (RSS) (13)
- Shareholder Litigation (RSS) (12)
- Speaking Engagements (RSS) (9)
- White Collar Crime (RSS) (5)
- Wrongful Dismissal (RSS) (12)
- Competition Law (RSS) (292)
- Abuse of Dominance (RSS) (11)
- Advice and Opinions (RSS) (2)
- Advice on Business Practices (RSS) (1)
- Anti-corruption (RSS) (10)
- CASL / Anti-Spam (RSS) (6)
- Civil Anti-Competitive Conduct (RSS) (26)
- Class Actions and Other Private Actions (RSS) (46)
- Competition Bureau Investigations (RSS) (28)
- Competition Tribunal Litigation (RSS) (18)
- Compliance Programs (RSS) (1)
- Conspiracy (RSS) (43)
- Consumer Protection (RSS) (22)
- Criminal Matters (RSS) (47)
- Fines & Settlements (RSS) (14)
- Indirect purchasers (RSS) (7)
- Marketing Practices and Telemarketing (RSS) (48)
- Mergers (RSS) (68)
- Private Actions (RSS) (12)
- Private Applications (RSS) (9)
- Developments (RSS) (215)
- In The Media (RSS) (32)
- Insurance Coverage Litigation (RSS) (4)
- Lawyer-Client Privilege (RSS) (1)
- Real Estate Litigation (RSS) (1)
- Uncategorized (RSS) (3)
- Year in Review / The Litigator (Print Edition) (RSS) (26)