Best interest standard | Investment Executive https://www.investmentexecutive.com/tag/best-interest-standard/ Canada's news source for financial professionals Tue, 16 Dec 2025 21:07:42 +0000 en-US hourly 1 https://wordpress.org/?v=6.9 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Best interest standard | Investment Executive https://www.investmentexecutive.com/tag/best-interest-standard/ 32 32 FCA consults on crypto rules https://www.investmentexecutive.com/news/fca-consults-on-crypto-rules-3/ Tue, 16 Dec 2025 21:07:42 +0000 https://www.investmentexecutive.com/?p=527876 U.K. regulator's proposals aim to support innovation while protecting consumers

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]]> Industry falling short on CFR compliance: CSA, CIRO https://www.investmentexecutive.com/news/from-the-regulators/industry-falling-short-on-cfr-compliance-csa-ciro/ Wed, 10 Dec 2025 17:50:45 +0000 https://www.investmentexecutive.com/?p=527418 Review documents failings in meeting KYC, KYP, suitability requirements

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]]> Broker failed to supervise front-end fund sales: FINRA https://www.investmentexecutive.com/news/broker-failed-to-supervise-front-end-fund-sales-finra/ Wed, 03 Dec 2025 20:13:38 +0000 https://www.investmentexecutive.com/?p=526909 SRO alleged investors paid US$2 million in fees for short-term sales

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]]> ESMA targets retail conflicts of interest https://www.investmentexecutive.com/news/esma-targets-retail-conflicts-of-interest/ Wed, 03 Dec 2025 20:05:18 +0000 https://www.investmentexecutive.com/?p=526916 Compliance review will examine industry conflicts with investors' interests

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]]> SEC drops crypto from compliance exams https://www.investmentexecutive.com/news/sec-drops-crypto-from-compliance-exams/ Tue, 18 Nov 2025 18:53:56 +0000 https://www.investmentexecutive.com/?p=525711 Exam priorities no longer cite crypto as an emerging risk, or focus

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]]> Investors not getting fair value from CFDs: FCA https://www.investmentexecutive.com/news/from-the-regulators/investors-not-getting-fair-value-from-cfds-fca/ Thu, 13 Nov 2025 19:51:59 +0000 https://www.investmentexecutive.com/?p=525380 Firms falling short of regulator's expectations under investor duty

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]]> FCA consults on crypto rules https://www.investmentexecutive.com/news/from-the-regulators/fca-consults-on-crypto-rules-2/ Wed, 17 Sep 2025 20:11:17 +0000 https://www.investmentexecutive.com/?p=520489 U.K. regulator's proposals consider operational, conduct standards for emerging sector

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]]> NASAA beefs up guidance on REITs https://www.investmentexecutive.com/news/from-the-regulators/nasaa-beefs-up-guidance-on-reits/ Tue, 09 Sep 2025 20:54:12 +0000 https://www.investmentexecutive.com/?p=519524 Conduct standards, suitability requirements revised

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]]> Digital design matters, FCA finds https://www.investmentexecutive.com/news/from-the-regulators/digital-design-matters-fca-finds/ Fri, 01 Aug 2025 10:00:00 +0000 https://www.investmentexecutive.com/?p=516570 Regulator's research details how online design can hurt, and help, investors

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]]> ASIC seeks tougher guidance on conflicts https://www.investmentexecutive.com/news/from-the-regulators/asic-seeks-tougher-guidance-on-conflicts/ Thu, 31 Jul 2025 10:00:00 +0000 https://www.investmentexecutive.com/?p=516428 Regulator proposes first update to conflict compliance in over 20 years

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