Loss of third-party fund distribution seen as "unintended consequence" in 2018
Fees as a share of industry revenues and profits have continued to decline
The SRO has elected to maintain more prescriptive guidance around KYC reviews
Consolidated rules and enhanced governance will be part of the changes
SRO review finds a variety of reasons for botched return calculations
Fund dealers' first CE cycle to kick off on Dec. 1
Industry firms have been targeted with campaigns impersonating regulators
New rules will enable firms to use temporary holds, seek trusted contacts to help protect vulnerable investors
A client eligible for no-loads funds was instead sold a DSC fund to boost the rep's compensation
Three questions to ask to protect yourself and your business