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Keyword: Suitability obligations

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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

Taxpayer's desk and excise documents to import and export industrial goods for the purpose of maximizing profits for large business organizations. (Taxpayer's desk and excise documents to import and export industrial goods for the purpose of maximizin

NASAA details investment advisers’ compliance issues

Registration, record-keeping and supervisory deficiencies were most common in firms' exams

U.S. brokers need work on best interest compliance

Firms make token effort to raise standards, cling to suitability, NASAA finds

Judge looks at papers

Portfolio manager settles KYC, suitability issues

BCSC orders eight-year ban, alongside $60,000 penalty