“Know Your Client Rule” Takes on New Importance
February 10th, 1997
THE RULE When asked to speak on the impact of technological changes taking place in the retail stock market on the "Know Your Client Rule", I was somewhat at a loss in that if you had asked me several months ago what "Surfing the Net" meant I would have thought it was a surf in the Hawaiian Islands! I am very familiar with the Know Your Client Rule having acted as defence counsel for one of Canada 's largest brokerage firms for a number of years. I have endured the brunt of Judicial tongue lashing for failure of investment advisors ... [more]
Collecting from Guarantors
To Sue and continue to Trial or to Settle - That is the $100.00 Question
April 15th, 1996
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