Association responds to Newfoundland’s Principles of the Sale of Insurance
Settlement brings multi-state investigation to a close
Written disclosure must be provided to clients regarding potential conflicts that have been identified
Amendments clarify conflict of interest guidelines
Industry comments sought
Auditor General says regulator needs to clarify enforcement guidelines and policies
Regulator notice clarifies dealer obligations
Rules to apply equally to business and personal dealings with clients
Two more brokerage firms have agreed to settlements with a slew of U.S. regulators concerning conflicts of interest in equity research. Deutsche Bank Securities Inc. will pay $87.5 million to settle conflict-of-interest charges involving research and investment banking, the Securities and Exchange Commission as well as industry and state regulators said Thursday.In addition, Thomas Weisel […]
Scope of rules narrowed to curtail costs