Best interest standard – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Wed, 24 Apr 2024 19:33:54 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 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 32 32 Advisors face new U.S. fiduciary requirements https://www.investmentexecutive.com/news/from-the-regulators/advisors-face-new-u-s-fiduciary-requirements/ Wed, 24 Apr 2024 18:10:03 +0000 https://www.investmentexecutive.com/?p=484685 Labor Department finalizes fiduciary rule for retirement advice

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]]> CIRO panel sanctions fund rep over conflicts https://www.investmentexecutive.com/news/from-the-regulators/ciro-panel-sanctions-fund-rep-over-conflicts/ Fri, 08 Mar 2024 19:43:38 +0000 https://www.investmentexecutive.com/?p=481911 Serving as a client's executor totally incompatible with rep's role, panel says

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]]> OSC shines a light on “dark” arts of online investing https://www.investmentexecutive.com/news/from-the-regulators/osc-shines-a-light-on-dark-arts-of-online-investing/ Wed, 21 Feb 2024 19:15:10 +0000 https://www.investmentexecutive.com/?p=480811 Investors face risks from sludge, nudges and other hidden tactics

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]]> Disclosure failures violated best-interest rules: SEC https://www.investmentexecutive.com/news/from-the-regulators/disclosure-failures-violated-best-interest-rules-sec/ Fri, 16 Feb 2024 20:19:00 +0000 https://www.investmentexecutive.com/?p=480663 Broker failed to alert investors to cheaper investing channel, regulator alleges

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]]> FINRA reveals evolving compliance threats https://www.investmentexecutive.com/news/from-the-regulators/finra-reveals-evolving-compliance-threats/ Tue, 09 Jan 2024 21:27:25 +0000 https://www.investmentexecutive.com/?p=478337 SRO sees crypto, AI and new account fraud among emerging issues

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]]> Potential class action against fund reps revived https://www.investmentexecutive.com/news/from-the-regulators/potential-class-action-against-fund-reps-revived/ Thu, 21 Dec 2023 20:14:17 +0000 https://www.investmentexecutive.com/?p=477768 Appeal Court finds alleged fiduciary duty breach can be basis for class action

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]]> OSC aces audit follow-up, government needs work https://www.investmentexecutive.com/news/from-the-regulators/osc-aces-audit-follow-up-government-needs-work/ Wed, 06 Dec 2023 19:42:17 +0000 https://www.investmentexecutive.com/?p=476695 Decision on tougher investor protection measures coming by end of 2025

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]]> SEC targets best-interest rules in broker reviews https://www.investmentexecutive.com/news/from-the-regulators/sec-targets-best-interest-rules-in-broker-reviews/ Mon, 16 Oct 2023 18:40:37 +0000 https://www.investmentexecutive.com/?p=473386 Regulator's exam division sets compliance priorities for 2024

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]]> Leverage compliance tech to grow your business https://www.investmentexecutive.com/inside-track_/david-reeve/leverage-compliance-tech-to-grow-your-business/ Mon, 25 Sep 2023 19:00:26 +0000 https://www.investmentexecutive.com/?p=472110 Tech-assisted recommendations can improve client outcomes

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]]> U.S. brokers need work on best interest compliance https://www.investmentexecutive.com/news/from-the-regulators/u-s-brokers-need-work-on-best-interest-compliance/ Tue, 05 Sep 2023 21:15:48 +0000 https://www.investmentexecutive.com/?p=471055 Firms make token effort to raise standards, cling to suitability, NASAA finds

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