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Keyword: Client-focused reforms

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  • By: IE Staff
  • January 17, 2020 January 14, 2020
  • 00:02
Happy businesswoman handshaking with client closing deal in an office interior with a window in the background

Investor protection and industry innovation highlight the SRO's compliance priorities

business team corporate organization working concept

Engaging with regulators is an important part of ensuring new rules are implemented effectively

  • By: Ian Russell
  • December 18, 2019 December 18, 2019
  • 16:13
Stacked white books on rules and regulations

Amendments include changes to suitability, know-your-client, conflict of interest and disclosure provisions

businesswoman thinking

Advisors can deliver better outcomes for their clients by getting ahead of their regulatory obligations

  • By: Susan Silma
  • November 20, 2019 November 20, 2019
  • 14:59
mature businessman thinking at desk in office

Technology solutions can help advisors meet compliance obligations

mature businessman thinking at desk in office

Regulation will begin to be phased in by this yearend


  • By: IE Staff
  • October 11, 2019 November 12, 2019
  • 00:05
smiling young couple shaking hands with investment advisor

Experts weigh in on what the new CFRs mean for advisors and investors

usiness team in a meeting looking at a sheet of paper

The rules would explicitly require firms to resolve material conflicts of interest in the best interest of their clients