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Keyword: Best interest standard

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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

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

The firm pushed advisors to recommend higher-cost managed accounts to clients

suspicious client

Regulators are granting relief from certain CFR requirements to allow DSC sales until a ban takes effect

Justice scales and gavel by books

Citing continued consumer harm and a lack of trust, regulator plans tougher consumer protection requirements