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Investor Advisory Panel calls on regulators to adopt a “best interest” standard as soon as possible

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Conduct standards in the U.S. brokerage industry remain in flux

  • April 24, 2018 April 24, 2018
  • 15:00
Washington DC skyline with Monument Capitol and Abraham Lincoln memorial

The U.S. regulator has also proposed introducing a mandatory new disclosure document that sets out the terms of advisory relationships

Editorial

  • By: IE Staff
  • October 27, 2017 January 16, 2018
  • 00:30
FAIR Canada not in favour of regulators’ stance on best interest standard

A new course defines procedural frameworks for advisors “based on fiduciary best practices”

Editorial

  • By: IE Staff
  • August 24, 2017 January 16, 2018
  • 23:30

Overwhelming backing for “best interest” standard

Canadian insurance regulators focus on three key priorities

The regulator’s final statement of priorities, published on Thursday, also includes a commitment to deal with embedded commissions

Although the province already has such a standard on financial planners, it’s now expanding the rule to include broker-dealers, sales reps and advisors

No unanimity in global regulatory reform, IFIC report finds

Although some countries have banned embedded commissions or adopted a best interest standard, most have just sought to enhance disclosure