Best interest standard – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Tue, 03 Dec 2024 13:56:42 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Best interest standard – Investment Executive https://www.investmentexecutive.com 32 32 Robo advisor sanctioned over CFR shortcomings https://www.investmentexecutive.com/news/from-the-regulators/robo-advisor-sanctioned-over-cfr-shortcomings/ Tue, 03 Dec 2024 13:56:42 +0000 https://www.investmentexecutive.com/?p=497778 Compliance sweep in 2022 found WealthBar wasn't meeting new standards

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]]> NASAA adds best interest standard to model rule https://www.investmentexecutive.com/news/from-the-regulators/nasaa-adds-best-interest-standard-to-model-rule/ Mon, 04 Nov 2024 19:53:45 +0000 https://www.investmentexecutive.com/?p=495966 Group seeks revisions to U.S. state rule that match SEC's Reg BI reforms

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]]> SEC targets brokers’ best interests compliance https://www.investmentexecutive.com/news/from-the-regulators/sec-targets-brokers-best-interests-compliance/ Tue, 22 Oct 2024 00:21:53 +0000 https://www.investmentexecutive.com/?p=495215 Exam division details compliance priorities for year ahead

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]]> Banks face profit pressure from tougher U.K. rules https://www.investmentexecutive.com/news/research-and-markets/banks-face-profit-pressure-from-tougher-u-k-rules/ Mon, 29 Jul 2024 19:41:14 +0000 https://www.investmentexecutive.com/?p=490145 Consumer duty to be extended to existing products

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]]> Leverage pre-trade compliance to drive value https://www.investmentexecutive.com/inside-track_/david-reeve/leverage-pre-trade-compliance-to-drive-value/ Mon, 10 Jun 2024 19:58:42 +0000 https://www.investmentexecutive.com/?p=487443 New regulations come with cost but also opportunity

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]]> Advisors face new U.S. fiduciary requirements https://www.investmentexecutive.com/news/from-the-regulators/advisors-face-new-u-s-fiduciary-requirements/ Wed, 24 Apr 2024 18:10:03 +0000 https://www.investmentexecutive.com/?p=484685 Labor Department finalizes fiduciary rule for retirement advice

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]]> CIRO panel sanctions fund rep over conflicts https://www.investmentexecutive.com/news/from-the-regulators/ciro-panel-sanctions-fund-rep-over-conflicts/ Fri, 08 Mar 2024 19:43:38 +0000 https://www.investmentexecutive.com/?p=481911 Serving as a client's executor totally incompatible with rep's role, panel says

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]]> OSC shines a light on “dark” arts of online investing https://www.investmentexecutive.com/news/from-the-regulators/osc-shines-a-light-on-dark-arts-of-online-investing/ Wed, 21 Feb 2024 19:15:10 +0000 https://www.investmentexecutive.com/?p=480811 Investors face risks from sludge, nudges and other hidden tactics

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]]> Disclosure failures violated best-interest rules: SEC https://www.investmentexecutive.com/news/from-the-regulators/disclosure-failures-violated-best-interest-rules-sec/ Fri, 16 Feb 2024 20:19:00 +0000 https://www.investmentexecutive.com/?p=480663 Broker failed to alert investors to cheaper investing channel, regulator alleges

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]]> FINRA reveals evolving compliance threats https://www.investmentexecutive.com/news/from-the-regulators/finra-reveals-evolving-compliance-threats/ Tue, 09 Jan 2024 21:27:25 +0000 https://www.investmentexecutive.com/?p=478337 SRO sees crypto, AI and new account fraud among emerging issues

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