Registration, record-keeping and supervisory deficiencies were most common in firms' exams
Firms make token effort to raise standards, cling to suitability, NASAA finds
BCSC orders eight-year ban, alongside $60,000 penalty
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