Editorial: There is room for improvement when it comes to customer-friendly communications in financial services
SRO proposes rule changes, calls for an industry-wide technological solution
New firm failed to adequately review trading, client comms, SRO alleged
FINRA highlights need to revise rules to match current technology
SRO previews initiatives to industry event
Investment Funds Institute of Canada report finds inflation and interest rates led Canadians to invest less last year
Survey suggests financial advisors emphasize value, build trust, communicate regularly
SEC opts not to penalize investment adviser that self-reported violations
Firms are investing in technology but also must consider advisor training
A successful claims process begins at the time of sale, say experienced advisors