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Keyword: Know your client

113 results found
Dominos falling

Draft guidance forms part of larger effort to improve industry conduct

Mitigate your risk amid potential enforcement delays, CFR audits

three colleagues discussing their business prospects and looking at laptop screen

Regulators to explore the regulation, provision of advice online

the easy path or the difficult path

Spouses with a significant gap between their ages need to examine pensions, taxes and estate planning strategies

rules and regulations

Canada remained the last G20 country without conduct standards for OTC derivatives markets

guidelines and regulations binders

Firms make token effort to raise standards, cling to suitability, NASAA finds


Investor misunderstood difference between advisory and discretionary accounts, court found

Blackboard rating

Regulators found firms are failing to identify and manage conflicts in clients' best interests

Board room discussion

Major reforms unlikely after review finds funds resilient to market stress

Magnifying glass image

Report on industry conflicts to be published soon with CSA, CIRO