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Keyword: Suitability obligations

74 results found
Dispute at desk

Here are three steps to prove suitability

cryptocurrencies

Regulators craft detailed standards to implement new crypto regime

investor protection

Group to focus on investor-advisor relationships, complaints, suitability

Taxpayer's desk and excise documents to import and export industrial goods for the purpose of maximizing profits for large business organizations. (Taxpayer's desk and excise documents to import and export industrial goods for the purpose of maximizin

Registration, record-keeping and supervisory deficiencies were most common in firms' exams

guidelines and regulations binders

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

Judge looks at papers

BCSC orders eight-year ban, alongside $60,000 penalty

EU flags waving in front of European Parliament building. Brussels, Belgium

Review to look at results of efforts to add sustainability factors to suitability, product governance requirements

magnifying glass

Almost half of high-risk agent reviews found best-practice failures

Partners discussing new plans

Regulator's reviews uncover shortcomings in brokers' Reg BI compliance

advisor client meeting

Advisors must show that clients understood an investment and its risks