Review to look at results of efforts to add sustainability factors to suitability, product governance requirements
Almost half of high-risk agent reviews found best-practice failures
Regulator's reviews uncover shortcomings in brokers' Reg BI compliance
Advisors must show that clients understood an investment and its risks
Stressed about the client-focused reforms? Try this different approach
The SRO provides clarity ahead of new year-end requirements, noting how products, fees and even ESG should be discussed
Revised KYP and product due diligence guidance accompany the rule changes
Advisors must “put the client’s interest first” when making a recommendation
The proposals are out for a 60-day comment period
The SRO is cracking down on dealer agreements with retail investors designed to shield firms from liability