About Advisor at Risk

Advisor at Risk is a comprehensive resource for taking control of risk and securing good business. It is a best practices must-read for anyone in the investment and resource industries who wants to avoid becoming the target of client complaints, regulatory investigations, litigation proceedings and damaging press releases.

Author Ellen Bessner takes an in-depth look at risks to advisors and provides practical, easy-to-follow strategies. Drawing on 20 years of first-hand experience, she stresses the importance, for example, of knowing your client and managing their expectations while maintaining a solid paper trail should a dispute emerge.

Who Should Read This Book

IIROC/MFDA/Insurance

• Licensed and unlicensed individuals working in investment or insurance industries
• Branch Managers/Supervisors
• Licensed and unlicensed Assistants supporting Advisors or Agents
• Rookies

Pricing

Retail Book Price Per Unit: $34.95

Available at Chapters/Indigo  www.chapters.indigo.ca

Corporate Volume Pricing

Prices do not include applicable taxes or shipping and handling.

To order Advisor at Risk, please contact:

Ellen Bessner
Tel: 647.725.2606
ebessner@babinbessnerspry.com

or order online at www.chaptersindigo.ca.

Edward Babin has practiced complex litigation in Canada for over 30 years. He was for many years a senior partner in the highly ranked litigation departments of both Torys LLP and Davies Ward Phillips & Vineberg LLP. He has appeared at all levels of court in Ontario, as well as before the Superior Courts and Courts of Appeal of several Canadian provinces, and the Yukon, as well as the Federal Court and the Supreme Court of Canada. He has also appeared before a wide variety of administrative tribunals and at numerous arbitrations.

Ed has been recognized as one of the Top 50 trial lawyers in Canada and a litigation star by Benchmark Litigation, and as a leading commercial litigator in the publication Best Lawyers in Canada.

Ed has also been ranked numerous times in a number of well-regarded Lexpert® publications including:

• The Canadian Legal Lexpert® Directory as Most Frequently Recommended in Corporate Commercial Litigation and Consistently Recommended in Securities Litigation.
• The Lexpert®/American Lawyer Guide to the Leading 500 Lawyers in Canada.
• The Lexpert® Special Edition on Canada's Leading Litigation Lawyers.
• The Lexpert® Guide to the Leading US/Canada Cross Border Litigation Lawyers in Canada.

Over the course of his career, Ed has gained significant experience in many areas, both in individual and class action proceedings. He has been involved in a very broad range of complex legal areas, and has acted for numerous clients in contract, securities, corporate governance, oppression, competition, investment advisor, executive employment, insolvency, consumer, franchise, conspiracy and fraud-related matters.

Ed has also handled numerous sports-related matters, including on behalf of several National Hockey League Clubs, the Canadian Football League, and on behalf of the International Association of Athletics Federations (IAAF) in the Ben Johnson case.

His work also has a public interest dimension. Ed has acted as counsel in connection with a number of public inquiries and has extensive and varied pro bono experience.

Ed has written many papers and presented at numerous conferences, dealing with a range of substantive and procedural topics, including class actions, securities litigation, trial advocacy and the Rules of Civil Procedure.

Ed’s experience includes acting for:

• A multibillion-dollar Canadian telecommunications company in connection with several false advertising claims under the Competition Act, including in a number of contested injunction applications and arbitrations.
• A major Canadian retailer in connection with international anti-trust class action proceedings dealing with credit card interchange fees charged by Visa, MasterCard, and others.
• Over 80 plaintiffs in a mass tort claim against a former investment advisor and a leading Canadian financial institution.
• A number of investors defrauded by an investment advisor at a major Canadian financial institution.
• Several former teachers, firefighters and other public sector workers in claims against financial and legal advisors arising out of the promotion of tax shelters and the mismanagement of pension funds.
• The Commissioner of Competition in proceedings arising out of the proposed alliance between Air Canada and United Airlines.
• Various individuals claiming negligence and breach of fiduciary duty by lawyers and other professional advisors.
• One of North America's largest investors, owners and managers of commercial real estate in connection with alleged violations of environmental statutes.
• An international solar power company in an arbitration and ancillary civil proceedings in connection with issues arising out of joint solar ventures.
• An accounting partnership regarding a claim by a departing partner for goodwill in the partnership.
• A Canadian trust company regarding a claim for an oppression remedy and wrongful dismissal.
• A number of individuals involved in alleged cross-border price-fixing.
• An app developer regarding claims against one of Canada's leading newspapers for breach of contract, breaches of the Copyright Act, breaches of the Trade-Marks Act, false and misleading representations made in breach of the Competition Act and damages for injurious falsehood.
• A director regarding allegations by a public company that he breached his duties to the company and for an oppression remedy.
• A number of executives seeking damages for wrongful or constructive dismissal and human rights violations.
• A major telecommunications company in a proposed class action claiming damages of $100 million for breach of contract, negligence, unjust enrichment and breach of the Consumer Protection Act.
• A global confectionery manufacturer in a proposed class action claiming damages for conspiracy to fix prices in breach of the Competition Act, tortious interference with economic interests, unjust enrichment, waiver of tort, and constructive trust.
• An international manufacturer before the Competition Tribunal, the Federal Court of Appeal and the Supreme Court of Canada in proceedings brought under the abuse of dominance provisions of the Competition Act.
• A major Swiss bank before the Ontario Court of Appeal and the Supreme Court of Canada regarding claims of worldwide securities fraud.
• An international mining company before the Yukon Supreme Court and Court of Appeal in connection with claims arising out of a contested change of control transaction.
• Key shareholders in connection with widespread allegations of fraud against another shareholder and a key employee, including obtaining and defending a Mareva Injunction and Norwich Order.
• A national steel company in proceedings under the Companies' Creditors Arrangement Act.
• An international public real estate corporation before the Court of Appeal and the Supreme Court of Canada class action brought on behalf of debenture holders.
• Former employees of a Canadian bank and a property management company for damages for wrongful dismissal.

Ed is deeply involved in his community, including with minor football, hockey, soccer and baseball in the North Toronto area. He is himself a former junior and college athlete. Despite his many aches and pains, Ed remains very physically active. He continues to play hockey. He is also a triathlete and has twice completed Ironman Canada (painfully and slowly).

Ed was for many years the Chairman of the Board of the Pollution Probe Foundation and was very active within the North Toronto Hockey Association, where he coached for 14 years and served on the board of directors.

Ed currently coaches football with the Metro Toronto Wildcats. He was also a founder of, and continues to work with, the Tyson Bailey Fund, a Toronto-based charity that provides support and financial assistance to disadvantaged and at-risk Toronto youth.

He is also involved in fundraising and volunteer activities in a variety of other fields.

Professional Affiliations:

• Law Society of Upper Canada
• Canadian Bar Association
• The Advocates’ Society
• Toronto Lawyers Association

Bar Admission:

• Ontario, 1987

Education:

• London School of Economics, LL.M., 1990 (With Merit)
• Osgoode Hall Law School, LL.B., 1985
• Concordia University, B.A. (Psychology), 1981 (With Distinction - Magna Cum Laude)