What needs to be said about what not to say
If CRM2 is to be a game-changer for investors, it must not be diluted by the artful use of spin or information overload
- By: Neil Gross
- November 10, 2014 November 10, 2019
- 06:00
Latest news in Neil Gross
KYP in a complicated world
How can there be meaningful know-your-product compliance while complex new investments have as yet unknown performance characteristics?
- By: Neil Gross
- October 14, 2014 November 10, 2019
- 05:00
Does disclosure actually work?
Research in behavioural economics has begun to raise questions that are disturbing and inconvenient. But they can’t be ignored
- By: Neil Gross
- September 15, 2014 November 10, 2019
- 05:00
Robo-advisors might prompt shift to best interests standards
In response to this rising trend, traditional advisors may be forced to offer ever-greater protection, catapulting them straight toward fiduciary status
- By: Neil Gross
- August 21, 2014 November 10, 2019
- 12:00
How to protect clients with signs of cognitive impairment
Here’s what advisors should do when they suspect a client’s ability to make significant financial decisions is deteriorating
- By: Neil Gross
- July 21, 2014 November 10, 2019
- 05:00
Culture of resistance is the problem, not regulatory burden
After stonewalling reforms for years, the investment industry has no one but itself to blame for the onslaught it now complains about
- By: Neil Gross
- June 23, 2014 November 10, 2019
- 05:00
Fundamental change to OBSI is needed
With some dealers making a mockery of OBSI, it’s time for regulators to build a dispute-resolution system that cannot be subverted
- By: Neil Gross
- May 26, 2014 November 10, 2019
- 05:00
Investor confidence: Gone in 60 milliseconds
It’s essential that regulators move quickly on high-frequency trading to ensure securities exchanges and ATSs operate in a manner that all investors — regardless of…
- By: Neil Gross
- April 28, 2014 November 10, 2019
- 05:00
An opportunity not to be missed
The development of detailed standards for risk-tolerance assessment will enhance consumer protection and help advisors and their dealers reduce their exposure to claims and disciplinary…
- By: Neil Gross
- March 31, 2014 November 10, 2019
- 05:00