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Keyword: Best interest standard

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Stock trading, people, business concept.

Local regulators opened thousands of investigations, handed down millions in sanctions

client meeting

Tougher standards aim to improve competition and results for customers


Firm, reps charged for selling risky illiquid bonds to retail investors, retirees

social media

ESMA aims to boost protections against emerging risks such as gamification

Wall street sign in New York with American flags and New York Stock Exchange background.

Best interest rules and fiduciary duties should produce similar outcomes, U.S. regulator says

Law concept - Law book with a wooden judges gavel on table in a courtroom or law enforcement office

Majority dismisses appeal, rejects proposed class action

young client meeting with advisor

The regulator is consulting on new title guidance until Dec. 13

virtual regulation

The regulator's reviews uncovered deficiencies at most firms examined

old way, new way

U.S. firms continue to put their own interests ahead of clients' interests, regulators say

Two business men shouting through megaphones

The advocacy group calls for action to preserve competition and protect investors