This course explains what broker liability is and the contractual and fiduciary responsibilities of an Investment Advisor under common and civil law. It describes steps Advisors can take to protect themselves from legal action and what to do if a complaint or suit is filed.
Lesson 1: Common Law (All provinces except Quebec)
- Duty of Care
- Standard of Care
- Damages in Tort
- Contractual Duties
Breach Of Contract:
- Written and Unwritten Terms
- Damages for Breach of Contract
- Quantum of Loss
- Fiduciary Duty
- IA and Client Relationship
- Damages for Breach of Fiduciary Duty
Lesson 2: Civil Law (in the Province of Quebec)
- Civil Liability
- The Fault
- The Damages
- Causal Link
Lesson 3: What IAs Should do if a Client Issues a Complaint
- Who To Call
- Meeting With The Lawyer
|Question Format||Multiple Choice|
|Questions Per Quiz||20|
|Enrolment Period||6 months|
* IMPORTANT: There is no maximum to the number of quiz attempts permitted, but only the first passing grade (60% or over) will appear on official web transcript.
Continuing Education (CE) Credits
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National/Provincial (Excluding Quebec)
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