Home Best interest standard

Keyword: Best interest standard

182 results found
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

Smartphone with finance and market icons and symbols concept

Game-like trading apps and Reg BI top the U.S. SRO's compliance exam agenda

EU flags waving in front of European Parliament building. Brussels, Belgium

Regulators to examine manufacturer, dealer compliance with new requirements

Horn speaker for public relations sign symbol, vintage color - sun with blue sky

IIROC publishes its version of the CSA's CFRs, which take effect in 2021

advisor client meeting

NASAA launches initiative to assess effects of new SEC conduct rules

suspicious client

Mixed reaction as DOL seeks to harmonize with SEC rules on broker conduct

compliance puzzle

SEC rules take effect June 30