Regulators propose best practices for market players
Registration, record-keeping and supervisory deficiencies were most common in firms' exams
Firms make token effort to raise standards, cling to suitability, NASAA finds
Firm failed to reveal conflicted fee payments, regulator charged
New rules aim to improve transparency, investor protection in private fund market
Nomura Securities agrees to trading misconduct penalties in non-prosecution agreement
FCA says there's work to be done in terms of ensuring value and enhancing competition
Margins, profits to be squeezed as consumer protections boosted
Regulators found firms are failing to identify and manage conflicts in clients' best interests
Report on industry conflicts to be published soon with CSA, CIRO