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Keyword: Suitability obligations

81 results found
Pile of cryptocurrency coins

Europe gears up for new crypto rules

ESMA issues series of guidance ahead of new regime's launch at year end

Crypto money

Review finds crypto firms sloppy with KYC too

OSC sweep uncovered issues with firms' account opening, client limits

Robo advisor sanctioned over CFR shortcomings

Compliance sweep in 2022 found WealthBar wasn't meeting new standards

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

CIRO sanctions supervisory lapses at Desjardins

Firm failed to oversee trading activity by a couple of its reps

Client listening to a lawyer or advisor explaining issues

NASAA adds best interest standard to model rule

Group seeks revisions to U.S. state rule that match SEC's Reg BI reforms

The Australian Coat of Arms in metal hangs on the glass wall of a building that reflects another high-rise across the street.

ASIC calls for distribution improvements

Poorly designed KYC questionnaires at the heart of recent enforcement actions

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

BCSC, fund manager settle compliance issue case

Firm resolved allegations of KYC, suitability, conflict failures

Dispute at desk

Do your notes pass the sniff test?

Here are three steps to prove suitability

cryptocurrencies

ESMA finalizes first set of crypto standards

Regulators craft detailed standards to implement new crypto regime

investor protection

CIRO’s investor office sets broad agenda

Group to focus on investor-advisor relationships, complaints, suitability