Duties of Securities Brokers in Canada
ebook ∣ Volume 1
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This book recognizes the timeless truth that self-interest and conflict threaten the same harms to brokers' clients today as they did in the 18th century. We are not concerned here, however, with the history or development of the brokerage business. Our focus, instead, is on the duties of the modern Canadian stock broker to her or his client as expounded in securities legislation and regulatory instruments, the rules of self-regulatory organizations ("SROs"), and the decisions of courts, securities regulators and SRO disciplinary panels.