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Broker Liability

 

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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)

Tort:

  • Duty of Care
  • Standard of Care
  • Damages in Tort
  • Contractual Duties

Breach Of Contract:

  • Written and Unwritten Terms
  • Damages for Breach of Contract
  • Remoteness
  • 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
  • Documentation
  • Arbitration/Litigation
  • Arbitration
  • Litigation
QUIZ FORMAT
Quiz Format Online
Question Format Multiple Choice
Questions Per Quiz 20
Passing Grade 60%*
Attempts Allowed Unlimited*
ENROLMENT PERIOD
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

Click the links below or the buttons at the top of the page on the right side to access CE accreditation information. To search for specific course information, press Ctrl + F and then enter the course name to search the document for the information you are interested in.

National/Provincial (Excluding Quebec)
Download CE Chart (PDF, 163 kb)

Quebec (IQPF/CSF)
Download IQPF/CSF Chart (PDF, 182 kb)

Please note: While CSI makes every effort to ensure that the information is up-to-date, we are unfortunately unable to fully guarantee its accuracy. The information listed in the charts above may be subject to change.

For details on the organizations and other information on CE Credits listed in the above charts, please click here.

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