Keyword: Suitability obligations

81 results found

Amendments detail the general obligations for dealers and reps to assess suitability of client leverage

FSA concerned about suitability of sales to unsophisticated investors

Fund salesman’s recommendations had “devastating consequences” for clients, panel says

Final report does not “accurately reflect” U.S. law

The goal of the nine principales is to promote investor protection

Retired client with limited investment knowledge invested in higher risk securities

  • By: IE Staff
  • December 18, 2012 December 18, 2012
  • 14:00

MFDA panel finds rep recommended leverage strategies that were unsuitable for clients

Amendments require securities commission approval before they take effect

Poor knowledge of the product and its risks lead to $30,000 fine

  • By: IE Staff
  • November 26, 2012 November 26, 2012
  • 15:20

OSC report sets out common deficiencies uncovered in compliance reviews