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Keyword: Best interest standard

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British regulator calls out industry ahead of July 31 deadline for new standards

advisor client meeting

FAIR Canada research finds investors worry about fees and suitability, and have low faith in regulatory protections

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Compliance exam report documents SRO's emerging and ongoing concerns

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

gavel

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

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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