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Keyword: Suitability obligations

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Compliance Legal Rule Compliancy Conformity Concept

The SRO is cracking down on dealer agreements with retail investors designed to shield firms from liability

Close up of an executive hands holding a pen and indicating where to sign a contract at office

The OSC says there is a lot of room for improvement in its 2019 summary report

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

Clients were advised to concentrate their holdings in precious metals sector funds

senior couple sitting at table with financial advisor

A client’s age has taken on an overly important role when advisors determine suitability of investments for clients

The review conducted by the Central Bank of Ireland comes in advance of proposed new requirements

The paper provides guidance on how regulators have addressed the issue of suitability through their enforcement proceedings against advisors

There is scope to strengthen enforcement activities

The former Manulife advisor “lacks the necessary proficiency and integrity to be registered,” the OSC says

Extra caution must be taken when recommending to clients investments with less liquidity, transparency and financial disclosure

Panel discusses what regulators look for in assessing whether dealers have fulfilled suitability requirements