Violations of the rule involve certain incentives programs
New disclosure rules from CLHIA draw complaints
The U.S. regulator will focus on cost and compensation disclosure, the supervision and oversight of reps and fixed-income trading execution
Are firms shifting clients into lower-cost funds as appropriate?
The helpline aims to provide immediate answers on basic compliance questions
The AMF will follow up on the results of the review and may require firms to make changes to their “Fund Facts” documents
Emphasis is on CRM2, cybersecurity and conflicts of interest
Pressures to build your business should not lead advisors to disregard compliance
The self-regulatory organization will examine concentrations in high risk investments and suitability for senior investors
Areas of focus include fraud, high-risk firms and brokers, technology governance and cybersecurity, and market regulation