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Keyword: Fiduciary duty

94 results found
Hands behind bars

Investors were misled about fund's trading and holdings, U.S. district court judge says

A keyboard with a blue button - Robo Advisor

Clients missed out on potential tax benefits after firm failed to alert them to changes in automated service

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Proposed class action claims that improper fees hurt investors' returns

Conflicted graph

Regulators objected to applying "best execution" duties to fund selection

Justice scales and gavel by books

Companies breached duty of care to investors but not fiduciary duties, decision says

magnifying glass

Conduct standards, crypto and cybersecurity feature in exam plans for 2023

Broken eggs next to an overturned wicker basket. Concept: "Don't put all your eggs in one basket".

B.C. court finds unregistered, unqualified advisor must be held to industry standards

client meeting

Tougher standards aim to improve competition and results for customers

Wall street sign in New York with American flags and New York Stock Exchange background.

Best interest rules and fiduciary duties should produce similar outcomes, U.S. regulator says

Law concept - Law book with a wooden judges gavel on table in a courtroom or law enforcement office

Majority dismisses appeal, rejects proposed class action