Comments due by Dec. 16
Deficiencies at De Thomas Financial earn $10,000 fine
Dealers and advisors obligated to “know your client”, “know your product”
Complaint numbers up as consumer awareness grows
Retail investors want greater accountability from both dealers and regulators
Insurance industry retail suitability requirements less rigourous, report finds
Further rules proposals on the way, regulator says
Admits failure to comply with suitability obligations