Poorly designed KYC questionnaires at the heart of recent enforcement actions
Competition and regulation pressuring firms' margins, earnings
U.K. firms failing to meet new investor protection standards, review finds
Fund manager, H2O, agrees to provide €250 million to unitholders
Risky firms, crypto platforms add to compliance division's workload
Fraud claims pass suitability issues among investment cases
Self-regulatory organization reported year-over-year decline in decisions and sanctions
Benchmark reform creates opportunity for vehicles that flopped in the financial crisis
Firm resolved allegations of KYC, suitability, conflict failures
FP Canada Standards Council released its annual enforcement activity