Holdings Information
Duties of securities brokers in Canada / Jeffrey G. MacIntosh, Christopher C. Nicholls.
Bibliographic Record Display
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Title:Duties of securities brokers in Canada / Jeffrey G. MacIntosh, Christopher C. Nicholls.
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Author/Creator:MacIntosh, Jeffrey G., author.
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Other Contributors/Collections:Nicholls, Christopher C., author.
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Published/Created:Toronto, Ontario : LexisNexis Canada, 2021.
©2021
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Holdings
Holdings Record Display
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Location:LAW LIBRARY (level 3)Where is this?
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Call Number: KE1062 .M33 2021
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Number of Items:1
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Status:Available
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Location:LAW LIBRARY (level 3)Where is this?
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Library of Congress Subjects:Stockbrokers--Legal status, laws, etc.--Canada.
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Description:xvi, 184 pages ; 24 cm
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Summary:"The duties of securities brokers in Canada."-- Provided by publisher.
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Notes:Includes bibliographical references and index.
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ISBN:9780433490616 hardcover
0433490616 hardcover
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Contents:Introduction to the legal and regulatory framework
Overview of key industry rules
The gatekeeper role
Know-your-client rules
The suitability obligation
Civil liability of brokers (Part I) : duty of care and duty to warn
Civil liability of brokers (Part II) : fiduciary duty.