Investment and Financial Security Advisors: Respect your clients’ goals and document your files!

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Two recent decisions of the Court of Appeal remind us of the duty on investment advisors and financial security advisors to know their client and the correlative duty of information. In both cases, the Court of Appeal held that the advisor had breached his duty to know his client, assess the client's needs, and inform and advise the client. Both cases also dealt with the client's possible contributory negligence.

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