Regulator's research details how online design can hurt, and help, investors
Regulator proposes first update to conflict compliance in over 20 years
Regulator alleged that ex-deputy CEO of French fund firm misled its investigation
Compliance division's annual report details exam findings at directly regulated firms
Investors could be confused by firms selling regulated and unregulated products side by side, regulators warn
Regulators should resolve risks upfront before firms get authorization, it says
Research "showed a statistically significant association" between sales pressure and recommendations not in client interests
Reps' concerns have been documented for years in IE's Report Card research
Regulators propose banning conflicted sales model before it gains traction
Reps fined, banned for personal financial dealings with clients