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Keyword: Conflicts of interest

64 results found
SEC names co-directors of enforcement

A new report from the Public Investors Arbitration Bar Association says that six of FINRA’s 13 current and immediate past public governors “appear to have conflicts of interest”

Take the necessary steps to know your clients thoroughly and determine if one family member’s actions could put you in a conflict of interest situation

FPSC makes changes to its board of directors

New notice cites importance of establishing special committees of independent directors to protect the interests of minority shareholders

OBSI plans to improve resolution process

Streamlining of rules, further guidance should be considered

FAIR Canada not in favour of regulators’ stance on best interest standard

Review of compensation-related conflicts reveals that disclosure alone is not sufficient

The aim is to avoid conflicts of interest when selecting reps to attend conferences

Compensation models reward reps for selling certain products

Understanding the CSA’s conflicts of interest proposals

In part three of a six-part video series on regulatory changes, Dan Richards, CEO, Client Insights and Rebecca Cowdery, partner at Borden Ladner Gervais LLP, discuss the CSA's proposals concerning conflicts of interest and how advisors can get ready for a higher standard.

FAIR Canada not in favour of regulators’ stance on best interest standard

The SRO will make certain that its rules and guidance put the best interest of clients ahead of dealers and reps

The OSC, the MFDA and IIROC are planning reviews of fees and incentives that could negatively affect clients