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Keyword: Suitability obligations

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decreasing cash money with businessmen in various activities

Many independent firms may restructure or retool their wealth-management operations to mitigate the negative impacts of the client-focused reforms

a business man running ahead of the crowd

There are key steps advisors can take now to be ahead of the game and deliver better outcomes for clients

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

Brokers may be recommending riskier, possibly unsuitable securities