Margins, profits to be squeezed as consumer protections boosted
Regulators found firms are failing to identify and manage conflicts in clients' best interests
FINRA expels firm; SEC, DoJ charge broker for exploiting vulnerable investors
SRO expels brokerage over widespread regulatory violations
Regulators objected to applying "best execution" duties to fund selection
FCA launches consultation on possible changes
Conduct standards, crypto and cybersecurity feature in exam plans for 2023
Regulator's reviews uncover shortcomings in brokers' Reg BI compliance
British regulator calls out industry ahead of July 31 deadline for new standards
FAIR Canada research finds investors worry about fees and suitability, and have low faith in regulatory protections